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DS

Dominic L. Santivasci

VANDERBILT SECURITIES
Woodbury, NY 11797
Some features on this profile are disabled
CRD#: 4222460
DS

Professional summary

Dominic Lawrence Santivasci is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Woodbury, New York.

Dominic is registered as a RR (Registered Representative) and started their career in finance in 2000. Dominic has worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dominic Lawrence Santivasci's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 15, 2018 - Present

VANDERBILT SECURITIES, LLC

Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797
BD
CRD#: 5953
Woodbury, NY
Past

January 6, 2016 - October 5, 2016

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

October 31, 2002 - November 19, 2009

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
NEW YORK, NY
Past

October 9, 2000 - January 22, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(9/15/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 12/7/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/9/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/7/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VANDERBILT SECURITIES, LLC
RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Phone number
(631) 845-5100
Established
New York since 12/05/2001
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VANDERBILT CAPITAL, LLCSOLE OWNER
ANTENOR, JR, DANIELCHIEF OPERATIONS OFFICER/OPTIONS/MUNI5839052
DISTANTE, STEPHEN ALFREDCEO - LIMITED PARTNER2206574
PLAPP, MEGAN LYNNFINOP, POO, PFO, CFO6790596
THOMAS, MICHELLE DENISECHIEF COMPLIANCE OFFICER2210435
TRIFILETTI, JOSEPH JOHNPRESIDENT5295897

Disclosures

Regulatory Event5
Arbitration1

Red Flags

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Company Information

VANDERBILT SECURITIES, LLC

CRD#: 5953Woodbury, NY 11797

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