William C. Santi
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.
William Carney Santi, who also goes by Bill Santi, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2019 - August 1, 2024
CORECAP INVESTMENTS, LLC
September 29, 2017 - July 1, 2019
SECURITIES AMERICA, INC.
August 19, 2013 - October 23, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 30, 2010 - August 12, 2013
ARETE WEALTH MANAGEMENT, LLC
January 24, 2006 - August 13, 2010
ONEAMERICA SECURITIES, INC.
November 10, 2003 - December 15, 2005
ONEAMERICA SECURITIES, INC.
April 23, 2003 - November 26, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 3, 2000 - October 25, 2002
VOYA FINANCIAL ADVISORS, INC.
April 18, 1999 - February 25, 2000
NYLIFE SECURITIES LLC
January 6, 1994 - April 12, 1999
VOYA FINANCIAL ADVISORS, INC.
July 26, 1993 - January 13, 1994
HORNOR, TOWNSEND & KENT, LLC
March 27, 1992 - July 26, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 27, 1992 - July 26, 1993
EQUITABLE ADVISORS, LLC
October 20, 1988 - September 14, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 20, 1988 - September 14, 1990
PRUCO 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
Current Firm
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
