Karen Saperston has been Chief Compliance Officer of Saperston Legacy Advisors since February 2026, is a control person of the firm and directly owns under 5% of it.
Saperston Legacy Advisors, Inc. is a Hamburg, NY firm with $181M under management, 436 clients and 4 advisers across 2 offices, as of its March 2026 filing.
No adviser firm registrations are on Karen Saperston’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 27 September 2017 |
| Series 24 | General Securities Principal Examination | 28 October 1991 |
| Series 4 | Registered Options Principal Examination | 28 January 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 November 1990 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 26 October 1990 |
| Series 7 | General Securities Representative Examination | 15 July 1989 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- General Securities Representative Examination
- Full name
- Karen Leber Saperston
- CRD
- 1921232
- Firm
- Saperston Legacy Advisors · CRD 105849
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Karen Saperston work?
Karen Saperston has been Chief Compliance Officer of Saperston Legacy Advisors, Inc. since February 2026, and is a control person of the firm.
Does Karen Saperston have a current investment-adviser registration?
Karen Saperston has no current investment-adviser or broker registration.
What exams has Karen Saperston passed?
Karen Saperston has passed 10 licensing exams: the Series 7, Series 8, Series 63, Series 4, Series 24, Series 53, Series 10, Series 9, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in July 1989. FINRA credited Karen Saperston with the SIE, which began in October 2018.
Is Karen Saperston registered with FINRA?
No. Karen Saperston has no current broker registration.
How can I verify Karen Saperston’s record?
Search CRD 1921232 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Karen Saperston’s full registration record.