Pedro 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.
Pedro Santos, who also goes by Pedro Santos, was a registered financial professional .
Pedro is a previously registered financial professional and started their career in finance in 2004. Pedro had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2011 - August 2, 2013
EQUITEC PROPRIETARY MARKETS, LLC
September 13, 2011 - October 18, 2011
EQUITEC TRADING, LLC
January 3, 2007 - July 26, 2007
EQUITEC NEW YORK, LLC
March 2, 2004 - December 19, 2006
EQUITEC PROPRIETARY MARKETS, LLC
March 2, 2004 - November 9, 2012
EQUITEC SPECIALISTS, 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
Current Firm
EQUITEC PROPRIETARY MARKETS, LLC
CRD#: 113728 / SEC#: , 8-53363
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
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.
