Hector L. 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.
Hector Luis Santiago, who also goes by Santiago, was a registered financial professional .
Hector is a previously registered financial professional and started their career in finance in 1996. Hector had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2014 - March 11, 2015
TZ CLEAR LLC
August 12, 2008 - September 4, 2013
ITAU INTERNATIONAL SECURITIES INC.
May 1, 2007 - July 9, 2007
SANTANDER SECURITIES LLC
July 20, 2006 - August 2, 2006
UNITED CAPITAL MARKETS, INC.
June 7, 2006 - July 14, 2006
KEPLER CAPITAL MARKETS, INC.
June 15, 1998 - June 20, 2006
JULIUS BAER SECURITIES INC.
October 1, 1996 - June 9, 1998
EFG CAPITAL INTERNATIONAL
State Registrations and Notice Filings
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Exams
Series 55
Date: 5/10/2001
Limited Representative-Equity Trader ExamCurrent Firm
TZ CLEAR LLC
CRD#: 8089 / SEC#: , 8-24511
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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