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SS

Santiago E. Santos

VECTORGLOBAL WMG
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1568982
SS

Professional summary

Santiago E Santos JR., who also goes by Santi Santos Jr, Santiago Santos Jr, Santiago Santos Jr., Santos, is a registered financial professional currently at VECTORGLOBAL WMG located in Miami, Florida.

Santiago is registered as a RR (Registered Representative) and started their career in finance in 1992. Santiago has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 10, Series 9, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Santi Santos Jr | Santiago Santos Jr | Santiago Santos Jr. | Santos

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Santiago E Santos JR.'s CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 5, 2010 - Present

VECTORGLOBAL WMG

Office #1: 1001 Brickell Bay Drive Suite 1900, Miami, FL 33131
BD
CRD#: 32396
Miami, FL
Past

January 17, 2003 - July 9, 2004

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
MIAMI, FL
Past

January 17, 2003 - July 9, 2004

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 2, 1993 - January 17, 2003

PERSHING LLC

RIA
CRD#: 7560
MIAMI, FL
Past

May 25, 1993 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 12, 1992 - May 4, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(1/10/2017)
RR
Nevada
(1/10/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 6/5/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/21/2015
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/25/2014
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/26/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/14/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

VW
VECTORGLOBAL WMG
VECTORGLOBAL WMG | VECTORMEX INCORPORATED | VECTORGLOBAL WMG, INC.

CRD#: 32396 / SEC#: , 8-45715

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1001 Brickell Bay Drive Suite 1900, Miami, FL 33131
Mailing Address
1001 Brickell Bay Drive Suite 1900, Miami, FL 33131
Phone number
(305) 350-3350
Established
Delaware since 01/14/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VECTORMEX INTERNATIONAL, INC.SOLE SHAREHOLDER
GADALA-MARIA, CARLOS ENRIQUEPRESIDENT, CEO, DIRECTOR, GSP4437613
SALGUERO, JUAN MANUELCCO2855462

Disclosures

Regulatory Event3

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.

Company Information

VECTORGLOBAL WMG

CRD#: 32396Miami, FL 33131

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