Patrick F. Santullo
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.
Patrick Frank Santullo, who also goes by Patrick F Pasquale, Pat Santullo, was a registered financial advisor .
Patrick is a previously registered financial advisor and started their career in finance in 1970. Patrick had worked at 15 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2005 - October 9, 2012
QUESTAR CAPITAL CORPORATION
August 28, 2002 - February 11, 2005
PAN-AMERICAN INVESTMENT ADVISERS, INC.
January 24, 2002 - February 11, 2005
PAN-AMERICAN FINANCIAL ADVISERS
June 13, 1996 - June 18, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 7, 1993 - January 24, 2002
VESTAX SECURITIES CORPORATION
October 5, 1992 - April 20, 1993
PRINCIPAL SECURITIES, INC.
October 11, 1989 - September 4, 1992
THE O.N. EQUITY SALES COMPANY
January 4, 1988 - January 1, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 11, 1982 - January 12, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 1977 - August 23, 1984
ADVANTAGE CAPITAL CORPORATION
August 11, 1976 - July 16, 1977
GUARDIAN INVESTOR SERVICES LLC
August 21, 1972 - September 4, 1976
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
June 1, 1972 - September 3, 1972
LUTHERAN BROTHERHOOD SECURITIES CORP.
July 27, 1971 - April 13, 1972
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
August 17, 1970 - May 24, 1971
VERAVEST INVESTMENTS, INC.
August 17, 1970 - May 24, 1971
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
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 1
Date: 8/11/1970
Registered Representative ExaminationCurrent Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
