Humberto S. Santos
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.
Humberto Santana Santos, who also goes by Humberto S Santos, Humberto Santos, was a registered financial advisor .
Humberto is a previously registered financial advisor and started their career in finance in 2001. Humberto had worked at 4 firms and has passed the Series 63, Series 66, Series 62, Series 72, Series 99TO, Series 82TO, Series 42, Series 22TO, SIE, Series 31, Series 7, Series 3, Series 39, Series 26, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2010 - June 7, 2022
PLANNER SECURITIES LLC
July 15, 2009 - November 4, 2009
INVESTSCAPE INC.
June 10, 2005 - June 20, 2008
IDB CAPITAL CORP.
August 13, 2003 - November 4, 2004
MORGAN STANLEY DW INC.
August 7, 2003 - November 4, 2004
MORGAN STANLEY DW INC.
June 3, 2002 - July 12, 2002
MORGAN STANLEY DW INC.
January 19, 2001 - July 12, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent Firm
PLANNER SECURITIES LLC
CRD#: 36866 / SEC#: , 8-47498
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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