Santiago Santos
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 Santos Jr, who also goes by Santi Santos Jr, Santiago Santos Jr, Santiago Santos Jr., Santiago Santos, Santos, was a registered financial professional .
Santiago is a previously registered financial professional and started their career in finance in 1992. Santiago had 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.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2010 - August 6, 2026
VECTORGLOBAL WMG
January 17, 2003 - July 9, 2004
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - July 9, 2004
CREDIT SUISSE SECURITIES (USA) LLC
June 2, 1993 - January 17, 2003
PERSHING LLC
May 25, 1993 - January 17, 2003
PERSHING LLC
August 12, 1992 - May 4, 1993
PRUDENTIAL EQUITY GROUP, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 11/14/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VECTORGLOBAL WMG
CRD#: 32396 / SEC#: , 8-45715
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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