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STEVEN BRENT SANTY
CRD#: 5631445
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 100 Market St.
4th Floor
Portsmouth, NH 03801
4th Floor
Portsmouth, NH 03801
0
Disclosures
14
Years of Experience
View By:
State Registrations
B
Alaska 5/28/2020
B
New Jersey 6/25/2024
B
California 3/28/2019
B
New York 3/28/2019
B
Colorado 3/28/2019
B
North Carolina 3/28/2019
B
Connecticut 4/16/2021
B
Pennsylvania 3/26/2024
B
District of Columbia 7/26/2021
B
Rhode Island 5/28/2020
B
Florida 3/28/2019
B
South Dakota 5/28/2020
B
Georgia 3/28/2019
B
Texas 3/28/2019
B
Illinois 4/19/2022
IA
Texas 1/6/2020
B
Maine 7/28/2017
B
Vermont 11/7/2019
B
Massachusetts 10/10/2017
B
Virginia 6/21/2023
B
Michigan 6/25/2024
B
Washington 4/19/2022
B
New Hampshire 7/12/2017
B
West Virginia 4/20/2021
IA
New Hampshire 4/20/2021
SRO Registrations
B
B
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IA
Registered with this firm since 7/28/2017
B
Registered with this firm since 7/12/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/12/2012 - 04/11/2016 | BOSTON, MA | |
B | 09/06/2012 - 04/11/2016 | BOSTON, MA | |
IA | 02/25/2009 - 08/14/2012 | ALEXANDRIA, VA | |
B | 01/29/2009 - 08/14/2012 | ALEXANDRIA, VA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.