Alberto 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.
Alberto Santos was a registered financial advisor .
Alberto is a previously registered financial advisor and started their career in finance in 1993. Alberto had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2007 - March 20, 2007
FIDUCIAL INVESTMENT ADVISORS, INC.
January 22, 2004 - April 25, 2005
FIRST MIDWEST SECURITIES, INC.
January 13, 2004 - April 25, 2005
FIRST MIDWEST SECURITIES, INC.
January 26, 2001 - February 15, 2002
CUNA BROKERAGE SERVICES, INC.
April 7, 1998 - January 18, 2001
PRUDENTIAL EQUITY GROUP, LLC
October 4, 1993 - January 30, 1998
PRUCO SECURITIES, 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
FIDUCIAL INVESTMENT ADVISORS, INC.
CRD#: 44792 / SEC#: , 8-50826
Contact information
Documents
Red Flags
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