Ryan R. 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.
Ryan R Santiago, who also goes by Ryan Santiago, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 1996. Ryan had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 99, Series 3, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2022 - April 25, 2025
CITY NATIONAL SECURITIES, INC.
May 18, 2021 - October 20, 2022
ELECTRONIC TRANSACTION CLEARING, INC.
May 13, 2021 - October 20, 2022
APEX CLEARING CORPORATION
December 8, 2014 - May 14, 2021
WEDBUSH SECURITIES INC.
October 10, 2012 - December 1, 2014
LIVEVOL SECURITIES, INC.
January 1, 2007 - July 6, 2009
NEWEDGE USA, LLC
July 1, 2005 - January 3, 2007
FIMAT PREFERRED LLC
January 19, 2001 - July 1, 2005
PREFERREDTRADE, INC.
April 27, 2000 - September 8, 2000
EBONDTRADE
July 12, 1999 - August 19, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 17, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
May 1, 1996 - February 24, 1998
TD AMERITRADE, INC.
Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
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
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL BANK | SOLE SHAREHOLDER | |
| BANUELOS, ALMA DELIA | BOARD MEMBER | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP, CFO | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 2,004 |
| AUM (Assets Under Management) | $ 1,591,349,877 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
