JS
Jay P. Santangelo
RBC CAPITAL MARKETS
Englewood, CO
Some features on this profile are disabled
CRD#: 1964315
JS
Professional summary
Jay Paul Santangelo, CIMA® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Englewood, Colorado.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Jay has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 62 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) BUSINESS OR ACTIVITY NAME: SELF TITLED - NO BUSINESS NAME FOR PROFIT OR NOT FOR PROFIT: PROFIT INVESTMENT RELATED: (YES OR NO) YES ADDRESS OF BUSINESS: BEAVER CREEK & FRISCO, COLORADO NATURE OF BUSINESS: RENTAL PROPERTIES IN COLORADO MOUNTAINS YOUR POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: JUNE 2004 NUMBER OF HOURS DEVOTED PER MONTH: 3-4 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 1/MONTH YOUR DUTIES: OWN THE PROPERTIES, PAY THE MORTGAGE, RECEIVE RENTS; HAVE PROPERTY MANAGERS AND MAINTENANCE PERSON THAT HANDLE DAY-TO-DAY DUTIES. (2) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SELF TITLED - NO BUSINESS NAME INVESTMENT RELATED: N ADDRESS OF BUSINESS: AVON, COLORADO 81620 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/24/1967 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY IN COLORADO SKI RESORT. (3) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - 900 MEADOW CREEK INVESTMENT RELATED: NO ADDRESS OF BUSINESS: FRISCO, COLORADO 80443 NATURE OF BUSINESS: REAL ESTATE POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 09/24/2009 NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: RENTAL PROPERTIES - LIMITED RESPONSIBILITIES AS I HAVE A PROPERTY MANAGER. (4) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - 998 W. BEAVER CREEK INVESTMENT RELATED: NO ADDRESS OF BUSINESS: AVON, COLORADO 81620 NATURE OF BUSINESS: REAL ESTATE POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 09/24/2009 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: RENTAL PROPERTY AT COLORADO SKI RESORT. (5) For profit or not for profit: For-Profit Organization Name of outside business organization: RomEnz Empire LLC; Investment related: N; Address of business:Denver, Colorado 80204; Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 12/12/2017; Number of hours devoted: 3 hour(s) Monthly; Number of hours devoted during trading hours: 0; Duties: Mixed Used Commercial/Industrial Building; 6) NAME OF ENTITY: Evolve at MileHi LLC ADDRESS: 5741 E. Princeton Ave, Englewood, CO, 80111 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 15/10/2020 CAPACITY: Owner, Sole Proprietor DUTIES: Flow-thru LLC to RomEnz Empire LLC for liability purposes. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
CRS (Client Relationship Summary) - RIA
Click below to view Jay Paul Santangelo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jay Paul Santangelo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
October 21, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 661 South Rivershore Lane Suite 200, Eagle, ID 83616-5397Office #3: 1801 California Street Suite 3900, Denver, CO 80202-5822RIA
BD
CRD#: 31194
Englewood, CO
Current
October 21, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 661 South Rivershore Lane Suite 200, Eagle, ID 83616-5397Office #2: 1801 California Street Suite 3900, Denver, CO 80202-5822RIA
BD
CRD#: 31194
Eagle, ID
Past
September 24, 2009 - October 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DENVER, CO
Past
September 24, 2009 - October 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DENVER, CO
Past
April 22, 2005 - October 2, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DENVER, CO
Past
April 22, 2005 - October 2, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DENVER, CO
Past
January 1, 1999 - May 3, 2005
PIPER SANDLER & CO.
RIA
CRD#: 665
LITTLETON, CO
Past
December 11, 1995 - May 3, 2005
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
April 24, 1995 - December 13, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
April 26, 1993 - April 27, 1995
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 25, 1993 - April 30, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
March 19, 1991 - January 25, 1993
KOBER FINANCIAL CORP.
BD
CRD#: 17551
ENGLEWOOD, CO
Past
May 21, 1990 - April 1, 1991
FIRST CHOICE SECURITIES CORP.
BD
CRD#: 17021
Past
June 26, 1989 - June 5, 1990
MALONE & ASSOCIATES, INC.
BD
CRD#: 10412
DENVER, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/21/2019)
RR
Arkansas(10/21/2019)
RR
California(7/17/2025)
RR
Colorado(10/21/2019)
IAR
Colorado(10/21/2019)
RR
Florida(10/21/2019)
RR
Georgia(10/21/2019)
RR
Idaho(6/18/2024)
RR
Indiana(10/1/2025)
RR
Iowa(3/4/2021)
RR
Louisiana(10/21/2019)
RR
Montana(6/5/2023)
RR
Nebraska(10/21/2019)
RR
Nevada(10/21/2019)
RR
New Jersey(10/21/2019)
RR
New York(10/21/2019)
RR
North Carolina(2/21/2025)
RR
North Dakota(10/21/2019)
RR
Ohio(10/21/2019)
RR
Oklahoma(10/21/2019)
RR
Pennsylvania(10/21/2019)
RR
Texas(10/21/2019)
IAR
Texas(10/21/2019)
RR
Utah(10/21/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/23/1989
Corporate Securities Limited Representative ExaminationSRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
