Tom Santangelo
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.
Tom Santangelo, who also goes by Thomas Salvatore Santangelo, Thomas Salvatore Santanselo, Thomas S Santangelo, Thomas Santangelo, was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1999. Tom 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
July 11, 2017 - December 31, 2017
WADDELL & REED
July 11, 2017 - December 31, 2017
WADDELL & REED
January 25, 2017 - June 5, 2017
SCOTTRADE INVESTMENT MANAGEMENT
February 26, 2016 - June 5, 2017
SCOTTRADE, INC.
March 23, 2015 - March 8, 2016
CITIZENS SECURITIES, INC.
March 23, 2015 - March 8, 2016
CITIZENS SECURITIES, INC.
April 24, 2012 - July 23, 2014
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - July 23, 2014
VOYA FINANCIAL ADVISORS, INC.
February 19, 2010 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
December 1, 2004 - May 29, 2009
MML DISTRIBUTORS, LLC
August 4, 2000 - May 29, 2009
MML INVESTORS SERVICES, LLC
June 11, 1999 - June 8, 2000
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, 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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
