John F. Santoro
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.
John Francis Santoro, who also goes by John Francis Santor, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 7 firms and has passed the Series 63, Series 3, 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
February 20, 2008 - September 24, 2012
ROSENTHAL GLOBAL SECURITIES LLC
August 12, 2002 - December 13, 2006
DEUTSCHE BANK SECURITIES INC.
April 22, 1998 - May 22, 2002
COWEN AND COMPANY
April 26, 1996 - April 29, 1998
UBS SECURITIES LLC
March 17, 1995 - April 24, 1996
DB ALEX. BROWN LLC
June 16, 1993 - April 10, 1995
UBS SECURITIES LLC
July 25, 1989 - June 5, 1993
BARCLAYS CAPITAL INC.
May 19, 1986 - April 1, 1989
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROSENTHAL GLOBAL SECURITIES LLC
CRD#: 19721 / SEC#: , 8-38021
Contact information
Documents
Red Flags
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