Douglas A. Santefort

SANTEFORT INVESTMENT GROUP

Schererville, IN 46375

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CRD#: 4905989

Professional summary

Douglas Allan Santefort, who also goes by Doug Santefort, is a registered financial advisor currently at SANTEFORT INVESTMENT GROUP, LLC located in Schererville, Indiana.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Douglas has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Santefort

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.

NAME OF BUSINESS: SANTEFORT INVESTMENT GROUP, LLC POSITION: OWNER (ACTIVE)/PRESIDENT/INSURANCE AGENT/PRODUCER NATURE: SALES OF LIFE/HEALTH INSURANCE, ANNUITIES, AND FINANCIAL PRODUCTS. INVESTMENT RELATED: YES NUMBER OF HOURS: 160 INVESTMENT RELATED HOURS: 160 START DATE: 01/01/2008 ADDRESS: SCHERERVILLE IN 46375 DESCRIPTION: SALES AND SERVICE OF LIFE/HEALTH INSURANCE, ANNUITIES AND FINANCIAL PRODUCTS. Elim Christian Services Foundation Boardl; Non-Investment Related' Board Member; Palos Heights, IL; Review Foundation activity; Approx 1 hour per month during non-trading hours; start 8, 2021.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Allan Santefort's 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

April 4, 2018 - Present

SANTEFORT INVESTMENT GROUP, LLC

Office #1: 2433 Ontario St Suite A, Schererville, IN 46375

RIA

CRD#: 292727

Schererville, IN

Past

March 25, 2009 - April 4, 2018

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

SCHERERVILLE, IN

Past

November 6, 2007 - March 25, 2009

MADISON AVENUE ADVISORS, INC.

RIA

CRD#: 137461

SCHERERVILLE, IN

Past

November 6, 2007 - April 4, 2018

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

SCHERERVILLE, IN

Past

July 27, 2005 - November 8, 2007

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MUNSTER, IN

Past

March 11, 2005 - November 8, 2007

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MUNSTER, IN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(4/10/2018)

IAR

Indiana
(4/4/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/21/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/3/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/10/2005

General Securities Representative Examination

Current Firm

SANTEFORT INVESTMENT GROUP, LLC

CRD#: 292727 / SEC#:

Illinois

Registered Investment Advisory firm - (4/10/2018 Approved)

Indiana

Registered Investment Advisory firm - (4/4/2018 Approved)

Louisiana

Registered Investment Advisory firm - (11/25/2019 Terminated)

Michigan

Registered Investment Advisory firm - (12/9/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2433 Ontario St Suite A, Schererville, IN 46375

Mailing Address

Phone number

(219) 227-8548

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	691
AUM (Assets Under Management)	$ 88,873,143

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.

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Douglas A. Santefort

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Allan Santefort's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANTEFORT INVESTMENT GROUP, LLC

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE ADVISORS, INC.

MADISON AVENUE SECURITIES, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/21/2005

SIE

Date: 4/4/2018

Series 31

Date: 7/3/2007

Series 7

Date: 3/10/2005

Current Firm

SANTEFORT INVESTMENT GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SANTEFORT INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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