David M. Santoni
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.
David Michael Santoni was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2002. David had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2021 - January 3, 2024
HENNEPIN PARTNERS LLC
September 22, 2014 - June 3, 2021
LAZARD MIDDLE MARKET LLC
October 23, 2009 - June 27, 2013
PRESTWICK PARTNERS, LLC
June 19, 2008 - September 8, 2009
LAZARD MIDDLE MARKET LLC
December 7, 2007 - July 23, 2008
LAZARD FRERES & CO. LLC
March 12, 2002 - July 23, 2008
GOLDSMITH, AGIO, HELMS SECURITIES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 3/11/2002
Corporate Securities Limited Representative ExaminationCurrent Firm
HENNEPIN PARTNERS LLC
CRD#: 153034 / SEC#: , 8-68498
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
