Carlos A. Santana
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.
Carlos Armando Santana, who also goes by Carlos Santana Gomez, Carlos Santana, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1991. Carlos had worked at 14 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2014 - October 1, 2015
VALIC FINANCIAL ADVISORS, INC.
January 27, 2011 - December 19, 2012
LPL FINANCIAL LLC
December 12, 2005 - January 4, 2010
CAPIS
October 31, 2005 - December 16, 2005
OSAIC SERVICES, INC.
January 12, 2005 - December 8, 2005
SPELMAN & CO., INC.
January 12, 2005 - December 8, 2005
SENTRA SECURITIES CORPORATION
June 21, 2002 - December 31, 2004
SPELMAN & CO., INC.
June 21, 2002 - December 31, 2004
SENTRA SECURITIES CORPORATION
June 21, 2002 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 10, 2002 - May 20, 2002
WESTERN SECURITIES CLEARING CORP.
July 14, 2000 - May 20, 2002
FIRST ALLIED SECURITIES, INC.
January 3, 1997 - June 29, 2000
GREAT PACIFIC SECURITIES
July 25, 1996 - November 19, 1996
INTERNATIONAL SECURITIES GROUP, INC.
June 16, 1995 - April 4, 1996
GILFORD SECURITIES INCORPORATED
January 14, 1995 - June 9, 1995
TEXAS CAPITAL SECURITIES, INC.
December 13, 1994 - January 4, 1995
LIBERTY CAPITAL MARKETS, INC.
May 19, 1993 - March 28, 1994
LIBERTY CAPITAL MARKETS, INC.
September 13, 1991 - June 2, 1993
LPL FINANCIAL LLC
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
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 55
Date: 1/21/2003
Limited Representative-Equity Trader ExamCurrent Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
