Monessa C. 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.
Monessa Cruz Santiago, who also goes by Monessa Barbara Cruz, was a registered financial professional .
Monessa is a previously registered financial professional and started their career in finance in 2000. Monessa had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - December 1, 2025
ASSETMARK BROKERAGE, LLC
December 4, 2013 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
July 30, 2008 - December 1, 2025
ASSETMARK, INC.
November 5, 2007 - November 22, 2013
CAPITAL BROKERAGE CORPORATION
May 5, 2006 - July 29, 2008
GENWORTH FINANCIAL ASSET MANAGEMENT, INC
May 27, 2005 - November 5, 2007
CETERA FINANCIAL SPECIALISTS LLC
June 14, 2000 - November 24, 2003
LORING WARD SECURITIES INC.
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
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
