Steven L. Santore
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.
Steven Louis Santore, who also goes by Steve Santore, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2010 - March 15, 2012
DNB MARKETS, INC.
January 28, 1998 - July 13, 1999
FIDELITY BROKERAGE SERVICES LLC
November 1, 1996 - December 31, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
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
DNB MARKETS, INC.
CRD#: 127605 / SEC#: , 8-66024
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DNB BANK ASA | SHAREHOLDER | |
| ANDERSEN, VIDAR | DIRECTOR | 7772839 |
| BAKKE, HEGE SIMPSON | DIRECTOR | 7772894 |
| BEHNCKE, PETER ANDREAS | DIRECTOR | 6258377 |
| BORY, MELISSA NMN | CHIEF COMPLIANCE OFFICER | 5047640 |
| BREIVIK, THOMAS OLAV OPDAHL | DIRECTOR | 7207266 |
| FELKOWSKI, BRIAN | TREASURER | 5659117 |
| JADICK, THEODORE SPENCER JR | PRESIDENT | 5847469 |
| KIRSCHENBLATT, CHAD | FINOP | 2503352 |
| MARKOWITZ, MICHAEL ERIC | SECRETARY | 7159750 |
| OPSTAD, MORTEN ALEXANDER | DIRECTOR | 6191217 |
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.
