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Wilson Santos

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CRD#: 2822467
WS

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.

Wilson Santos, who also goes by Bill Santos, was a registered financial professional .

Wilson is a previously registered financial professional and started their career in finance in 1997. Wilson had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Santos

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 7, 2021 - July 18, 2022

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
Stamford, CT
Past

March 30, 2018 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
STAMFORD, CT
Past

May 6, 2014 - June 30, 2016

HEDGEMARK SECURITIES LLC

BD
CRD#: 164503
NEW YORK, NY
Past

January 20, 2012 - May 5, 2014

KENMAR SECURITIES, L.P.

BD
CRD#: 29375
NEW YORK, NY
Past

August 15, 2005 - November 18, 2006

ARBORHEDGE INVESTMENTS, INC.

BD
CRD#: 34800
CHICAGO, IL
Past

April 4, 2003 - September 10, 2003

NATIONWIDE FUND DISTRIBUTORS LLC

BD
CRD#: 25910
COLUMBUS, OH
Past

May 3, 2002 - January 21, 2003

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

June 14, 2001 - December 31, 2002

MAM SECURITIES, LLC

BD
CRD#: 41140
SAN FRANCISCO, CA
Past

October 19, 2000 - April 30, 2001

SCUDDER WEISEL CAPITAL, LLC

BD
CRD#: 104088
SAN FRANCISCO, CA
Past

April 25, 1997 - September 21, 2000

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/30/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/1997
General Securities Principal Examination

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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.

Company Information

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

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