Michael A. Pessolano
Professional summary
Michael Anthony Pessolano, who also goes by Michael A Pessolano, Michael Anthony Pessolano, is a registered financial professional currently at SANTANDER SECURITIES LLC located in Staten Island, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Anthony Pessolano's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2022 - Present
SANTANDER SECURITIES LLC
Office #1: 1320 Hylan Boulevard, Staten Island, NY 10305October 1, 2012 - June 26, 2022
J.P. MORGAN SECURITIES LLC
August 10, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 1, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 1, 2006 - August 10, 2007
MSI FINANCIAL SERVICES, INC.
August 1, 2000 - November 23, 2004
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
January 14, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
November 1, 1993 - February 18, 2000
CANTOR FITZGERALD SECURITIES
February 28, 1992 - October 27, 1992
FINANCIAL SQUARE PARTNERS
September 19, 1989 - February 3, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/21/2022)
Exams
FINRA
Current Firm
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
