Michael R. Santoro
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.
Michael Richard Santoro, who also goes by Michael R Santoro, Michael Richard Santoro, Michael Santoro, Michael R Santuro, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2018 - August 13, 2021
E*TRADE SECURITIES LLC
March 29, 2012 - February 3, 2016
TD AMERITRADE CLEARING, INC.
March 26, 2010 - February 3, 2016
TD AMERITRADE, INC.
July 1, 2004 - September 7, 2005
J.P. MORGAN SECURITIES INC.
April 15, 2003 - July 1, 2004
BANC ONE CAPITAL MARKETS, INC.
May 28, 2002 - March 28, 2003
COMMERZBANK CAPITAL MARKETS CORP.
November 9, 1999 - June 5, 2002
ABN AMRO INCORPORATED
August 27, 1997 - December 1, 1997
PARAGON CAPITAL MARKETS, INC.
February 26, 1996 - July 25, 1997
ARGENT SECURITIES, INC.
November 17, 1994 - January 16, 1996
PATTERSON TRAVIS, INC.
August 19, 1994 - November 3, 1994
H.J. MEYERS & CO., INC.
August 5, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
January 7, 1994 - September 15, 1994
HIBBARD BROWN & CO., INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
E*TRADE SECURITIES LLC
CRD#: 29106 / SEC#: , 8-44112
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 2996942 |
| FINN, JED | MANAGER | 5658048 |
| GREANEY, BRIAN JOSEPH | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 3274607 |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER | 4928947 |
| HENNESSY, MICHAEL S | MANAGER | 1988660 |
| JANOVER, JAMES T | MANAGER | 2818307 |
| TURNER, CHAD EDWARD | PRESIDENT AND CHIEF EXECUTIVE OFFICER,MANAGER | 6009808 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 139 |
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.
