Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Santoro is an active BrokerCheck registered representative with Bofa Securities, Inc., located in NEW YORK, NY. Joseph has been in the securities industry since March 18, 2000. Joseph is also registered as a principal in Municipal Securities. Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Financial Services Inc. Joseph has a wide range of experience in the financial services industry.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Research-related services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
03/27/2009 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/20/2009 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
04/16/2007 - 04/01/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
01/16/2006 - 03/30/2007
UBS SECURITIES LLC (NEW YORK NY)
NJ
03/03/2000 - 01/16/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BC
Issued 03/06/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/04/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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