Santo C. Maggio
Professional summary
Santo Charles Maggio was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Santo is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Santo had worked at 2 firms, which includes REFCO CLEARING LLC, REFCO SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2004 - April 18, 2006
REFCO CLEARING LLC
February 14, 1989 - March 23, 2007
REFCO SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Series 8
Date: 10/11/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REFCO CLEARING LLC
CRD#: 128160 / SEC#: , 8-66101
Contact information
Documents
Red Flags
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