Seth Santiago
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.
Seth Santiago was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1993. Seth had worked at 7 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
January 3, 2003 - May 29, 2012
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
October 25, 1999 - November 1, 2001
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 12, 1996 - December 31, 1997
INVESTORS CAPITAL CORP.
February 20, 1996 - March 15, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 20, 1996 - March 15, 1996
OSAIC FA, INC.
July 24, 1995 - December 11, 1995
IDS LIFE INSURANCE COMPANY
July 24, 1995 - December 11, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
October 28, 1993 - January 5, 1994
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
CRD#: 332 / SEC#: , 8-5889
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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