Heather J. 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.
Heather Joy Santana, who also goes by Heather Joy Silver, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 1993. Heather had worked at 5 firms and has passed the Series 63 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2010 - August 12, 2015
PURSHE KAPLAN STERLING INVESTMENTS
March 28, 2005 - September 27, 2010
BCG SECURITIES, INC.
November 7, 1997 - March 1, 2005
WATERSTONE FINANCIAL GROUP, INC.
January 3, 1996 - September 3, 1997
WATERSTONE FINANCIAL GROUP, INC.
April 28, 1995 - January 1, 1996
AMERICAN MEDICAL INVESTMENT COMPANY, L.P.
May 25, 1993 - June 16, 1994
AMA INVESTMENT ADVISERS, INC.
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 11
Date: 4/1/1993
Assistant Representative-Order Processing Qualification ExamCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
