Jay Paul Santangelo

Current Employers

Employment History

• 09/2009 → 10/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Denver, CO
• 12/2009 → 10/2019
  Bank Of America, Na
  Denver, CO
• 10/2019 → Present
  Rbc Capital Markets, Llc.
  Denver, CO
• 12/2019 → Present
  City National Bank
  Denver, CO

Previous Registrations

• 2009-09-24 → 2019-10-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Denver, CO
• 2005-04-22 → 2009-10-02
  Ubs Financial Services Inc.
  Denver, CO
  Denver, CO
• 1999-01-01 → 2005-05-03
  Piper Sandler & Co.
  Littleton, CO

Other Businesses

(1) BUSINESS OR ACTIVITY NAME: SELF TITLED - NO BUSINESS NAME FOR PROFIT OR NOT FOR PROFIT: PROFIT INVESTMENT RELATED: (YES OR NO) YES ADDRESS OF BUSINESS: BEAVER CREEK & FRISCO, COLORADO NATURE OF BUSINESS: RENTAL PROPERTIES IN COLORADO MOUNTAINS YOUR POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: JUNE 2004 NUMBER OF HOURS DEVOTED PER MONTH: 3-4 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 1/MONTH YOUR DUTIES: OWN THE PROPERTIES, PAY THE MORTGAGE, RECEIVE RENTS; HAVE PROPERTY MANAGERS AND MAINTENANCE PERSON THAT HANDLE DAY-TO-DAY DUTIES. (2) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SELF TITLED - NO BUSINESS NAME INVESTMENT RELATED: N ADDRESS OF BUSINESS: AVON, COLORADO 81620 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/24/1967 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY IN COLORADO SKI RESORT. (3) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - 900 MEADOW CREEK INVESTMENT RELATED: NO ADDRESS OF BUSINESS: FRISCO, COLORADO 80443 NATURE OF BUSINESS: REAL ESTATE POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 09/24/2009 NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: RENTAL PROPERTIES - LIMITED RESPONSIBILITIES AS I HAVE A PROPERTY MANAGER. (4) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - 998 W. BEAVER CREEK INVESTMENT RELATED: NO ADDRESS OF BUSINESS: AVON, COLORADO 81620 NATURE OF BUSINESS: REAL ESTATE POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 09/24/2009 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: RENTAL PROPERTY AT COLORADO SKI RESORT. (5) For profit or not for profit: For-Profit Organization Name of outside business organization: RomEnz Empire LLC; Investment related: N; Address of business:Denver, Colorado 80204; Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 12/12/2017; Number of hours devoted: 3 hour(s) Monthly; Number of hours devoted during trading hours: 0; Duties: Mixed Used Commercial/Industrial Building; 6) NAME OF ENTITY: Evolve at MileHi LLC ADDRESS: 5741 E. Princeton Ave, Englewood, CO, 80111 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 15/10/2020 CAPACITY: Owner, Sole Proprietor DUTIES: Flow-thru LLC to RomEnz Empire LLC for liability purposes. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-15
• S63 Uniform Securities Agent State Law Examination
  1989-08-30