Octavio 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.
Octavio Santos JR, who also goes by Octavio Santos Jr., Octavio Santos, was a registered financial professional .
Octavio is a previously registered financial professional and started their career in finance in 1997. Octavio had worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 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
May 13, 2022 - August 1, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
May 12, 2022 - August 1, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
August 26, 2021 - May 6, 2022
MML INVESTORS SERVICES, LLC
August 20, 2021 - May 6, 2022
MML INVESTORS SERVICES, LLC
April 5, 2017 - September 27, 2019
VALIC FINANCIAL ADVISORS, INC.
April 5, 2017 - September 27, 2019
VALIC FINANCIAL ADVISORS, INC.
January 4, 2016 - April 12, 2017
EAGLE STRATEGIES LLC
November 3, 2015 - April 12, 2017
NYLIFE SECURITIES LLC
April 9, 2008 - August 14, 2015
MSI FINANCIAL SERVICES, INC.
April 3, 2008 - August 14, 2015
MSI FINANCIAL SERVICES, INC.
May 8, 2006 - December 13, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
May 5, 2006 - December 13, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
February 9, 2004 - May 24, 2006
TRUIST INVESTMENT SERVICES, INC.
January 28, 2004 - May 24, 2006
TRUIST INVESTMENT SERVICES, INC.
March 26, 2003 - January 30, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
November 7, 2002 - January 23, 2004
PFIC SECURITIES CORPORATION
June 24, 1999 - October 1, 2002
WAMU INVESTMENTS, INC.
July 24, 1998 - June 24, 1999
BANC ONE SECURITIES CORPORATION
August 4, 1997 - July 24, 1998
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
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.
