Maximillian Santos
Professional summary
Maximillian Santos was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Maximillian is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Maximillian had worked at 6 firms, which includes BLACKBOOK CAPITAL LLC, NATIONAL SECURITIES CORPORATION, OPPENHEIMER & CO. INC., TD AMERITRADE INC., LADENBURG THALMANN & CO. INC., BARINGTON CAPITAL GROUP L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2015 - March 11, 2016
BLACKBOOK CAPITAL, LLC
June 26, 2014 - July 17, 2014
NATIONAL SECURITIES CORPORATION
July 30, 2009 - July 14, 2014
OPPENHEIMER & CO. INC.
March 29, 2001 - July 14, 2014
OPPENHEIMER & CO. INC.
March 23, 1999 - January 23, 2001
TD AMERITRADE, INC.
November 18, 1998 - February 16, 1999
LADENBURG THALMANN & CO. INC.
May 20, 1998 - November 28, 1998
BARINGTON CAPITAL GROUP, L.P.
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
BLACKBOOK CAPITAL, LLC
CRD#: 123234 / SEC#: , 8-65577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OGELE, FRANKLIN IHENDU | CEO, PRESIDENT, FINOP, CCO | 2197820 |
| APEX HOMES, INC | MEMBER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
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.
