Michael Santorsola
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.
Michael Santorsola, who also goes by Michael Le Roy Santorsola, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 22 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2019 - February 10, 2020
OSAIC INSTITUTIONS, INC.
April 3, 2018 - August 27, 2019
CETERA INVESTMENT SERVICES LLC
February 14, 2017 - January 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2015 - February 7, 2017
LPL FINANCIAL LLC
September 3, 2013 - October 14, 2013
LPL FINANCIAL LLC
February 4, 2013 - April 22, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
April 23, 2009 - June 3, 2009
GUNNALLEN FINANCIAL, INC
March 31, 2009 - June 3, 2009
GUNNALLEN FINANCIAL, INC
September 27, 2006 - April 17, 2007
CHASE INVESTMENT SERVICES CORP.
September 27, 2006 - April 17, 2007
CHASE INVESTMENT SERVICES CORP.
October 12, 2005 - September 15, 2006
BNY MELLON SECURITIES CORPORATION
October 12, 2005 - September 15, 2006
BNY MELLON SECURITIES CORPORATION
January 3, 2005 - September 30, 2005
CAPITAL ONE INVESTMENT SERVICES LLC
August 10, 2004 - October 28, 2005
CAPITAL ONE FINANCIAL ADVISORS LLC
January 2, 2004 - January 3, 2005
GREENPOINT SECURITIES LLC
October 14, 1999 - January 2, 2004
ESSEX NATIONAL SECURITIES, LLC
June 11, 1999 - October 8, 1999
CITICORP INVESTMENT SERVICES
January 1, 1999 - May 27, 1999
WAMU INVESTMENTS, INC.
January 21, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
March 7, 1997 - December 19, 1997
WELLS FARGO SECURITIES INC.
February 26, 1997 - May 2, 1997
SPELMAN & CO., INC.
June 10, 1994 - March 17, 1995
FIRST INTERSTATE INVESTMENTS,INC.
May 3, 1994 - May 12, 1994
H.J. MEYERS & CO., INC.
July 31, 1993 - August 20, 1993
CITIGROUP GLOBAL MARKETS INC.
October 20, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
February 10, 1992 - September 25, 1992
A. G. EDWARDS & SONS, INC.
October 19, 1988 - December 6, 1991
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
