Richard Raymond Santore Iii
Professional Summary
Richard Raymond Santore III, who also goes by Richard Raymond Santore, is a registered financial advisor currently at BLOOMBERG TRADEBOOK LLC located in New York, New York and BLOOMBERG TRADEBOOK CANADA COMPANY located in New York, New York. Richard is registered as a RR (Registered Representative) and started their career in finance in 2020. Richard has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Raymond Santore
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Years of Experience
6 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Current Firm
BLOOMBERG TRADEBOOK CANADA COMPANY
Contact Information
Main Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1Mailing Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1Phone Number
(212) 617-4865Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOMBERG CANADA LLC | SOLE SHAREHOLDER | — |
| BENDER, GREGORY | DIRECTOR | 5601000 |
| KAPLAN, PAUL WILLIAM | PRESIDENT, DIRECTOR | 4092439 |
| MILHAM, CHRISTOPHER MICHAEL | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 3092157 |
| ROTELA, DOUGLAS MARTIN | CHIEF COMPLIANCE OFFICER | 5127496 |
| SANTORE, RICHARD RAYMOND III | DIRECTOR | 4978129 |
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
State Registrations and Notice Filings
(1/6/2022)
(2/9/2021)
(2/9/2021)
(9/27/2021)
(9/21/2020)
(2/9/2021)
(9/3/2021)
(7/8/2021)
(7/9/2021)
(7/5/2022)
(2/24/2022)
(2/9/2021)
(2/9/2021)
(6/8/2022)
(9/1/2021)
(7/14/2021)
(7/2/2021)
(7/2/2021)
(7/12/2021)
(7/8/2021)
(8/31/2021)
(3/28/2022)
(7/2/2021)
(7/5/2022)
(7/6/2021)
(8/2/2021)
(2/9/2021)
(2/9/2021)
(2/9/2021)
(9/1/2021)
(8/30/2021)
(2/9/2021)
(7/8/2021)
(10/14/2022)
(2/9/2021)
(8/25/2021)
(7/13/2021)
(2/9/2021)
(7/21/2021)
(9/8/2021)
(7/14/2021)
(8/20/2021)
(2/9/2021)
(8/19/2021)
(2/18/2022)
(2/9/2021)
(7/9/2021)
(1/14/2022)
(2/9/2021)
(9/2/2021)
(9/3/2021)
(2/9/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - BD
Click below to view Richard Raymond Santore III's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
