Michael L. Santana
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 Louis Santana was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 6 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
January 24, 2014 - April 23, 2015
GILFORD SECURITIES INCORPORATED
May 26, 2005 - January 2, 2013
FIRST CLEARING, LLC
March 10, 2000 - December 31, 2004
WEXFORD CLEARING SERVICES, LLC
November 26, 1997 - January 7, 2000
PRUDENTIAL EQUITY GROUP, LLC
March 29, 1996 - July 21, 1997
CITIGROUP GLOBAL MARKETS INC.
December 18, 1995 - February 14, 1996
FAIRCHILD FINANCIAL GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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