Rafael Santiago
Professional summary
Rafael Santiago was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rafael is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Rafael had worked at 7 firms, which includes VCS VENTURE SECURITIES, AXOS CLEARING LLC, HALCYON CABOT PARTNERS LTD., MORGAN STANLEY, JOHN THOMAS FINANCIAL, LIGHTHOUSE FINANCIAL GROUP LLC, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2015 - February 23, 2016
VCS VENTURE SECURITIES
November 3, 2014 - November 18, 2014
VCS VENTURE SECURITIES
July 18, 2013 - October 17, 2014
AXOS CLEARING LLC
June 11, 2013 - August 8, 2013
HALCYON CABOT PARTNERS, LTD.
July 10, 2012 - March 8, 2013
MORGAN STANLEY
April 26, 2012 - March 8, 2013
MORGAN STANLEY
June 23, 2011 - October 20, 2011
JOHN THOMAS FINANCIAL
March 23, 2007 - April 30, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
May 27, 1994 - September 19, 1995
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 2/1/2008
Limited Representative-Equity Trader ExamCurrent Firm
VCS VENTURE SECURITIES
CRD#: 127921 / SEC#: , 8-66069
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEO CAPITAL MARKETS, LLC | DIRECT OWNER | |
| NEW AGE CAPITAL MANAGEMENT, LLC | DIRECT OWNER | |
| MOOD, TRAVIS ANTON MORSE | REGISTERED OPTIONS PRINCIPAL | 4745001 |
| NIXON, JON ALAN | FINOP | 4710715 |
| STALANSKI, JOHN WALTER | AMLCO | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF OPERATING OFFICER | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF COMPLIANCE OFFICER | 2922709 |
Disclosures
| Regulatory Event | 3 |
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