Stephen J. Santacroce
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.
Stephen John Santacroce, who also goes by Steve John Santacroce, was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1986. Stephen had worked at 11 firms and has passed the Series 65, 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 11, 2003 - June 18, 2004
HBKS WEALTH ADVISORS
May 30, 2003 - March 22, 2004
CAP PRO BROKERAGE SERVICES, INC.
August 2, 1999 - December 11, 2002
A. G. EDWARDS & SONS, INC.
August 1, 1999 - December 11, 2002
A. G. EDWARDS & SONS, INC.
May 19, 1992 - August 5, 1999
HIGH POINT CAPITAL GROUP, INC.
October 26, 1989 - February 28, 1990
GRUNTAL & CO., L.L.C.
June 8, 1989 - October 13, 1989
NETWORK 1 FINANCIAL SECURITIES INC.
February 7, 1989 - May 31, 1989
ALISON, BAER SECURITIES INC.
June 8, 1988 - January 26, 1989
ALLIED CAPITAL GROUP, INC.
January 21, 1987 - June 16, 1988
MORGAN GLADSTONE & CO. INC.
September 15, 1986 - December 22, 1986
F.D. ROBERTS SECURITIES, INC.
February 27, 1986 - September 29, 1986
MICHELIN AND COMPANY, INC.
Primary Firm SEC Registration
HBKS WEALTH ADVISORS
CRD#: 112139 / SEC#: 801-60424
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
Current Firm
HBKS WEALTH ADVISORS
CRD#: 112139 / SEC#: 801-60424
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,190 |
| AUM (Assets Under Management) | $ 7,661,939,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/28/2023 |
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.
