John J. Santariello
Professional summary
John Joseph Santariello was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 2010. Prior to being barred, John had worked at 6 firms, which includes ARIVE CAPITAL MARKETS, CAPE SECURITIES INC., JOSEPH GUNNAR & CO. LLC, WILMINGTON CAPITAL SECURITIES LLC, NATIONAL SECURITIES CORPORATION, K.C. WARD FINANCIAL.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2016 - October 8, 2018
ARIVE CAPITAL MARKETS
August 11, 2015 - June 27, 2016
CAPE SECURITIES INC.
July 8, 2015 - July 10, 2015
JOSEPH GUNNAR & CO. LLC
March 10, 2014 - May 26, 2015
WILMINGTON CAPITAL SECURITIES, LLC
August 21, 2013 - February 12, 2014
NATIONAL SECURITIES CORPORATION
March 12, 2010 - May 30, 2013
K.C. WARD FINANCIAL
State Registrations and Notice Filings
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Exams
Current Firm
ARIVE CAPITAL MARKETS
CRD#: 8060 / SEC#: , 8-43350
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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