John F. Santaguida

MCMORGAN & COMPANY LLC

San Francisco, CA 94105

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CRD#: 5004531

Professional summary

John F. Scott Santaguida is a registered financial advisor currently at MCMORGAN & COMPANY LLC located in San Francisco, California and MCMORGAN & COMPANY CAPITAL ADVISORS LLC located in San Francisco, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. John has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Antique Distributors - Not Investment Related - Moraga, CA - Online Collectible Sales - Owner - As of July 2015 - No Hours Spent During Trading Hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John F. Scott Santaguida'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

October 12, 2012 - Present

MCMORGAN & COMPANY LLC

Office #1: 33 New Montgomery Street Suite 2000, San Francisco, CA 94105

RIA

CRD#: 115060

San Francisco, CA

Current

October 4, 2012 - Present

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

Office #1: 33 New Montgomery Street Suite 2000, San Francisco, CA 94105

CRD#: 137222

San Francisco, CA

Past

January 26, 2007 - October 3, 2012

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

December 14, 2005 - October 3, 2012

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MCMORGAN & COMPANY LLC

MCMORGAN & COMPANY LLC | MCMORGAN ACQUISTION COMPANY LLC | MCMORGAN ACQUISITION COMPANY LLC

CRD#: 115060 / SEC#: 801-60509

RIA

Registered Investment Advisory firm - (10/11/2001 Approved)

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.

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

Alabama
(10/29/2012)

Arizona
(10/19/2012)

California
(10/12/2012)

IAR

California
(10/12/2012)

Florida
(10/22/2012)

Illinois
(11/8/2012)

Massachusetts
(10/12/2018)

New York
(10/4/2012)

Ohio
(10/11/2012)

Oregon
(10/23/2012)

Pennsylvania
(10/31/2012)

Washington
(4/18/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/25/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MCMORGAN & COMPANY LLC

MCMORGAN & COMPANY LLC | MCMORGAN ACQUISTION COMPANY LLC | MCMORGAN ACQUISITION COMPANY LLC

CRD#: 115060 / SEC#: 801-60509

RIA

Registered Investment Advisory firm - (10/11/2001 Approved)

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Contact information

Main Address

33 New Montgomery Street Suite 2000, San Francisco, CA 94105

Mailing Address

Phone number

(415) 788-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCMORGAN AND COMPANY LLC FIRM BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	238
AUM (Assets Under Management)	$ 7,421,647,589

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
06/14/2024	Cover Page	Report
12/21/2023	Cover Page	Report
09/23/2022	Cover Page	Report

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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Firm Stability Insights

John F. Santaguida

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John F. Scott Santaguida's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

Primary Firm SEC Registration

MCMORGAN & COMPANY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2007

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2005

Series 14

Date: 1/2/2023

Series 24

Date: 8/30/2006

FINRA

Current Firm

MCMORGAN & COMPANY LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MCMORGAN & COMPANY LLC

TRUST BUT VERIFY

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