German T. De Soto
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.
German Tayag De Soto, who also goes by German De Soto, Gerry Tayag De Soto, was a registered financial professional .
German is a previously registered financial professional and started their career in finance in 2010. German had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - December 5, 2024
ROBINHOOD FINANCIAL, LLC
January 14, 2021 - September 14, 2021
EMPOWER ADVISORY GROUP, LLC
January 13, 2021 - September 14, 2021
EMPOWER FINANCIAL SERVICES, INC.
May 24, 2019 - January 8, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
May 23, 2019 - January 8, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
March 2, 2017 - May 30, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2017 - May 30, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 2017 - February 27, 2017
SCOTTRADE INVESTMENT MANAGEMENT
September 15, 2016 - February 27, 2017
SCOTTRADE, INC.
March 4, 2015 - August 31, 2016
STRATEGIC ADVISERS LLC
November 30, 2012 - August 30, 2016
FIDELITY BROKERAGE SERVICES LLC
July 26, 2010 - September 24, 2010
WADDELL & REED
June 23, 2010 - September 24, 2010
WADDELL & REED
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
Current Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
