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RIA / WealthAdvisorCertified Financial Planner10 years in industry

Charles Austin Sacco

Advisor at MARINER

New York, NY | Jersey City, NJ

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Search this name across graphsid dfx:ria:9e2f9722-5a02-3b78-ced3-c4bf2ed40812

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Jan 26, 2021 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Apr 1, 2016
First registration: Jan 26, 2021
Dual registered: no
Other names: CHARLES A SACCO|CHARLES SACCO
IAPD individual key: 6618055

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Mariner	Bd affiliated wealth	Aug 13, 2026	n/a	yes	New York, NY\|Jersey City, NJ	Current employment
CONCURRENT INVESTMENT ADVISORS, LLC	Independent wealth	Jan 9, 2026	Aug 13, 2026	no	Jersey City, NJ\|TAMPA, FL\|Plainview, NY	Previous registration
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Aug 23, 2024	Jan 10, 2026	no	NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 11, 2022	Aug 28, 2024	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 26, 2021	Oct 28, 2021	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CONCURRENT INVESTMENT ADVISORS, LLC	Mariner	Aug 13, 2026	Aug 13, 2026	0	Firm change	RIA to ibd
JANNEY MONTGOMERY SCOTT LLC	CONCURRENT INVESTMENT ADVISORS, LLC	Jan 10, 2026	Jan 9, 2026	-1	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	JANNEY MONTGOMERY SCOTT LLC	Aug 28, 2024	Aug 23, 2024	-5	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 28, 2021	Jan 11, 2022	75	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:7691:NY:2021-10-16	Oct 28, 2021	Jan 11, 2022	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ MARINERRegistered adviserregistration: current employment
Aug 13, 2026 to presentfactForm ADV
→ CONCURRENT INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 9, 2026 to Aug 13, 2026factForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Aug 23, 2024 to Jan 10, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 11, 2022 to Aug 28, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 26, 2021 to Oct 28, 2021factForm ADV

Dated events

Occurred
Aug 13, 2026
Advisor changed firm
Charles Austin Sacco left Concurrent Investment Advisors, Llc for Mariner (registered 2026-08-13)
Form ADVobserved 6 days ago
Occurred
Jan 10, 2026
Advisor changed firm
Charles Austin Sacco left Janney Montgomery Scott Llc for Concurrent Investment Advisors, Llc (registered 2026-01-09)
Form ADVobserved 6 days ago
Occurred
Aug 28, 2024
Advisor changed firm
Charles Austin Sacco left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Janney Montgomery Scott Llc (registered 2024-08-23)
Form ADVobserved 6 days ago