Marco G. Santamaria
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.
Marco Giulio Santamaria, who also goes by Marco Giucio Santamaria, was a registered financial professional .
Marco is a previously registered financial professional and started their career in finance in 1995. Marco had worked at 8 firms and has passed the 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
July 2, 2010 - February 22, 2017
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 20, 2009 - April 19, 2010
UNIFIED FINANCIAL SECURITIES, LLC
October 6, 2004 - February 8, 2008
LEVELX CAPITAL LLC
August 10, 2000 - August 16, 2002
LEHMAN BROTHERS INC.
December 10, 1999 - August 2, 2000
PINEBRIDGE SECURITIES LLC
July 1, 1998 - December 6, 1999
ABN AMRO SECURITIES LLC
November 6, 1995 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
March 16, 1995 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
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
ALLIANCEBERNSTEIN INVESTMENTS, INC.
CRD#: 14549 / SEC#: , 8-30851
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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