Carolyn Y. Santo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carolyn Yamasaki Santo, who also goes by Carolyn Jean Santo, Carolyn Jean Yamasaki, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1982. Carolyn had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2006 - December 31, 2017
ESSENTIAL FINANCIAL LTD
November 21, 2002 - July 7, 2006
CHINOOK CAPITAL MANAGEMENT LLC
March 21, 2002 - October 31, 2002
INVESMART SECURITIES, LLC
March 9, 2001 - November 12, 2002
INVESMART ADVISORS INC
February 8, 1996 - July 14, 1998
BANKOH INVESTMENT SERVICES, INC.
November 1, 1993 - March 23, 1994
FSC SECURITIES CORPORATION
January 30, 1990 - October 31, 1991
KAVANAUGH SECURITIES, INC.
November 19, 1989 - February 8, 1990
OSAIC WEALTH, INC.
February 9, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 22, 1982 - February 8, 1983
EQUITEC SECURITIES COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
ESSENTIAL FINANCIAL LTD
CRD#: 140080 / SEC#:
Contact information
Red Flags
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