George M. Santangelo
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.
George M Santangelo, who also goes by George Michael Santangelo, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 6 firms and has passed the Series 63, Series 7, Series 55, Series 3, Series 4 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
November 30, 2007 - October 20, 2008
TAFFERER TRADING, LLC
December 18, 2001 - September 25, 2003
FIRST HUDSON FINANCIAL GROUP, INC.
October 19, 2000 - August 21, 2003
NATIONAL SECURITIES CORPORATION
January 23, 1989 - October 26, 2000
SHARPE CAPITAL, INC.
May 5, 1987 - October 26, 1988
EXECUTION SERVICES INCORPORATED
January 19, 1983 - February 26, 1987
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 1/3/2001
Limited Representative-Equity Trader ExamCurrent Firm
TAFFERER TRADING, LLC
CRD#: 36816 / SEC#: , 8-47474
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLD BROTHERS INC. | HOLDING CORPORATION | |
| HOLD, GREGORY FRANCIS | CHIEF EXECUTIVE OFFICER | 2169408 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
