John D. Santini

ETHOS FINANCIAL GROUP

King Of Prussia, PA 19406

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CRD#: 6129815

Professional summary

John Dominic Santini, who also goes by John Dominic Santini, John Santini, John D Sparisci, John Sparisci, is a registered financial advisor currently at ETHOS FINANCIAL GROUP, LLC located in King Of Prussia, Pennsylvania and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. John has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Dominic Santini | John Santini | John D Sparisci | John Sparisci

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.

1)Name: John Santini Inv rel: Y Add:565 Taxter Road Nature: NonMMLIA Insurance Brokerage Position: Sales Start date: Sales No. HR/MO: 4 No. HR/MO during sec trading: 4 Describe duties: Individual Life, Property Casualty Health Group Life Group Health ** Ethos Financial Group, Senior Advisor managing investments for clients, 40 hrs. per week, fee based, outside RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Dominic Santini'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

September 19, 2022 - Present

ETHOS FINANCIAL GROUP, LLC

Office #1: 2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406

RIA

CRD#: 321748

King Of Prussia, PA

Current

October 12, 2022 - Present

INNOVATION PARTNERS LLC

Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210

RIA

CRD#: 146344

Charlotte, NC

Past

September 20, 2019 - September 6, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

STAMFORD, CT

Past

September 20, 2019 - September 6, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

STAMFORD, CT

Past

April 4, 2019 - October 1, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ELMSFORD, NY

Past

March 25, 2017 - October 1, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

ELMSFORD, NY

Past

March 19, 2013 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ELMSFORD, NY

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".

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 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

Connecticut
(10/12/2022)

Florida
(10/13/2022)

New York
(11/14/2022)

North Carolina
(1/14/2023)

IAR

Pennsylvania
(9/19/2022)

Pennsylvania
(11/14/2022)

South Carolina
(10/18/2022)

Texas
(12/6/2024)

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: 7/1/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/29/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/18/2013

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

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Contact information

Main Address

2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406

Mailing Address

Phone number

(484) 889-7270

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ETHOS FINANCIAL GROUP BROCHURE (4/23/2025)

Regulatory assets under management

Total Number of Accounts	3,935
AUM (Assets Under Management)	$ 1,576,974,645

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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Advisor Monitoring

Firm Stability Insights

John D. Santini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Dominic Santini's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATION PARTNERS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ETHOS FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/1/2019

Series 63

Date: 3/29/2013

SIE

Date: 10/1/2018

Series 7

Date: 4/11/2016

Series 6

Date: 3/18/2013

FINRA

Current Firm

ETHOS FINANCIAL GROUP, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ETHOS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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