Santiago D. Cortez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Santiago Dante Cortez was a registered financial professional .
Santiago is a previously registered financial professional and started their career in finance in 1986. Santiago had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 1995 - January 5, 1998
BA INVESTMENT SERVICES, INC.
May 14, 1993 - December 9, 1993
LUTHER, SMITH & SMALL, INC.
December 23, 1991 - August 28, 1992
MARKETING ONE SECURITIES, INC.
September 29, 1989 - February 26, 1991
CAPITAL BROKERAGE CORPORATION
October 27, 1988 - February 8, 1989
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 4, 1988 - November 15, 1988
FIRST IMPERIAL INVESTOR SERVICES, INC.
December 24, 1986 - March 8, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 24, 1986 - March 10, 1988
EQUITABLE ADVISORS, LLC
September 29, 1986 - May 5, 1989
FIRST SECURITIES GROUP OF CALIFORNIA INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BA INVESTMENT SERVICES, INC.
CRD#: 12965 / SEC#: , 8-28502
Contact information
Documents
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.
