Robert A. Santella
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.
Robert Anthony Santella, who also goes by Bob Santella, Robert Anthony Santella Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2012 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
March 17, 2011 - April 6, 2018
FIS BROKERAGE & SECURITIES SERVICES LLC
December 10, 2008 - January 3, 2012
FOX RIVER EXECUTION TECHNOLOGY, LLC
August 27, 1993 - May 13, 1994
RAS TRADING, L.P.
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
SUNGARD INSTITUTIONAL BROKERAGE INC.
CRD#: 8509 / SEC#: , 8-25844
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUNGARD INVESTMENT VENTURES LLC. | SHAREHOLDER | |
| CARVER, JASON MATTHEW | CHIEF FINANCIAL OFFICER | 4681802 |
| DONNELLAN, ANDREW B JR. | DIRECTOR | 4903697 |
| MAYO, STEPHANIE ANN | SENIOR MANAGING DIRECTOR, BUSINESS OPERATIONS/DIRECTOR | 5048684 |
| MEADE, CHRISTOPHER HILARY | SR. MANAGING DIRECTOR COMPLIANCE & OPERATIONS/ CHIEF COMPLIANCE OFFICER | 2629159 |
| SANTELLA, ROBERT ANTHONY | CEO/ PRESIDENT/ DIRECTOR | 2385977 |
| VALLOW, RONALD ELLIS JR. | CONTROLLER/FINOP | 4948582 |
Disclosures
| Regulatory Event | 3 |
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.
