Stephen A. Santora
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.
Stephen Anthony Santora was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 7 firms and has passed the Series 63, Series 82TO, 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
December 15, 2020 - November 19, 2024
PALLADIUM CAPITAL GROUP, LLC
March 9, 2010 - June 22, 2010
GARDEN STATE SECURITIES, INC.
June 6, 2007 - April 10, 2008
TOUCHPOINT SECURITIES CORP.
February 13, 2006 - June 1, 2007
PRIME EXECUTIONS, INC.
January 16, 2002 - February 22, 2006
FERRETTI GROUP, INC.
April 20, 2001 - April 30, 2001
DZ FINANCIAL MARKETS LLC
March 16, 1999 - May 13, 1999
SDI CAPITAL MARKETS, INC.
March 7, 1994 - July 17, 1998
SDI CAPITAL MARKETS, 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 82TO
Date: 12/15/2020
Limited Representative-Private Securities OfferingsCurrent Firm
PALLADIUM CAPITAL GROUP, LLC
CRD#: 129400 / SEC#: , 8-66223
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KURLAND, AKIVA JOSEPH | MEMBER | 5366252 |
| LAZARUS, MARILYN NMI | MEMBER | 5447746 |
| LAZARUS, NORMAN MICHAEL | MEMBER | 7172324 |
| PADOWITZ, JOEL EUGEN | MEMBER | 4725316 |
| MOCH, TAMARA ROSALIE | MEMBER | 7172315 |
| BUCKLEY, ANNE PAUL | CHIEF COMPLIANCE OFFICER | 1781079 |
| MEDREZ, NATAN | PARTIAL OWNER | 4792730 |
| PALLADIUM HOLDINGS, LLC | PARTIAL OWNER | |
| ROOZ, EFRAIM | PARTIAL OWNER | 5823833 |
| SLOVIN, MARK ADAM | CHIEF FINANCIAL OFFICER AND FINOP | 6786999 |
| WEINBERG, ILAN JOSHUA | PARTIAL OWNER | 2354293 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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