Mark D. Santarossa
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.
Mark Davis Santarossa was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2007. Mark had worked at 4 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2014 - November 11, 2014
VENTUM FINANCIAL (US) CORP.
October 18, 2011 - November 7, 2012
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
January 13, 2010 - September 27, 2011
CIBC WORLD MARKETS CORP.
May 14, 2007 - December 18, 2009
HAYWOOD SECURITIES (USA) INC.
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 37
Date: 5/9/2007
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
VENTUM FINANCIAL (US) CORP.
CRD#: 127404 / SEC#: , 8-65995
Contact information
FINRA licenses (21 States and Territories)
Documents
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.
