Deborah G. Santaniello
Professional summary
Deborah Genovese Santaniello, who also goes by Deborah Genovese, Deborah Genovese Santaniello, Deborah Santaniello, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.
Deborah is registered as a RR (Registered Representative) and started their career in finance in 1987. Deborah has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Deborah Genovese Santaniello's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2021 - Present
AXOS CLEARING LLC
Office #1: 7103 S Revere Parkway, Centennial, CO 80112July 24, 2019 - December 31, 2020
E*TRADE SECURITIES LLC
August 28, 2015 - April 9, 2018
TCADVISORS NETWORK INC.
October 28, 2013 - November 12, 2014
CHARLES SCHWAB & CO., INC.
May 24, 2004 - February 16, 2005
ALLSTATE FINANCIAL SERVICES, LLC
October 6, 1992 - July 10, 2002
MORGAN STANLEY DW INC.
March 26, 1991 - February 4, 1992
REICH & TANG DISTRIBUTORS, INC.
February 24, 1987 - March 26, 1991
REICH & TANG, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/12/2021)
Exams
BOX Exchange LLC
Cboe BZX Exchange, Inc.
FINRA
Investors' Exchange LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
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.
