Dominick David Santoro

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-03-27
CT	RA	APPROVED	2011-02-25

TX RA
APPROVED_RES

Since 2018-03-27
CT RA
APPROVED

Since 2011-02-25

Branch Locations

25 Church Hill Rd, Ste 203, Newtown, CT 06470 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Danbury	CT	02/2011	Present

02/2011 → Present

Lpl Financial, Llc

Danbury, CT

Previous Registrations

2009-06-01 → 2011-03-08

Morgan Stanley

Ridgefield, CT
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Ridgefield, CT
2007-01-26 → 2007-04-02

Morgan Stanley Dw Inc.

Danbury, CT
2005-03-21 → 2007-02-07

Citigroup Global Markets Inc.

Westport, CT

Westport, CT

Other Businesses

1. 01/12/2012 - Dominick D. Santoro LLC/ Business Entity For Tax/Investment Purposes Only/ INV REL/AT REPORTED BUSINESS LOCATION(S)/ I do not have any outside business activities. I have established an LLC named "Dominick D. Santoro LLC" for accounting purposes and to protect myself as an LPL Financial Advisor. I operate under the "LPL Financial" name. Just disclosing my LLC/ TIME SPENT 0.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-03-17
S63	Uniform Securities Agent State Law Examination	2005-03-02

S65 Uniform Investment Adviser Law Examination

2005-03-17
S63 Uniform Securities Agent State Law Examination

2005-03-02

View on SEC IAPD