Robert C. Santonocito
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.
Robert Carl Santonocito, who also goes by Bob Carl Santo, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 9 firms and has passed the Series 65, 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
April 28, 2014 - May 24, 2023
CAPITAL ANALYSTS
August 2, 2010 - May 24, 2023
LINCOLN INVESTMENT
August 2, 2010 - May 24, 2023
LINCOLN INVESTMENT
April 24, 2008 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 5, 2008 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 22, 2006 - November 26, 2007
VALIC FINANCIAL ADVISORS, INC.
February 22, 2006 - November 26, 2007
VALIC FINANCIAL ADVISORS, INC.
January 7, 2004 - March 1, 2006
AMERIPRISE ADVISOR SERVICES, INC.
January 7, 2004 - March 1, 2006
AMERIPRISE ADVISOR SERVICES, INC.
July 8, 2002 - September 23, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - January 29, 2004
WORLD GROUP SECURITIES, INC.
February 12, 2002 - April 12, 2002
WMA SECURITIES, INC.
March 12, 1999 - July 5, 2000
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
