Maximillian Santos
Professional Summary
Maximillian Santos, who also goes by Max Santos, Maximilliam Santos, was a registered financial advisor. Maximillian was a previously registered financial advisor and started their career in finance 1998 - 2016. Maximillian had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Max Santos, Maximilliam Santos
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
BLACKBOOK CAPITAL LLC | PHOENIX SECURITIES, INC. | FRANKLIN CHRISTOPHER INVESTMENTS LLC | FRANKLIN CHRISTOPHER INVESTMENT BANKERS, INC. | ET SECURITIES, INC. | BLACKBOOK CAPITAL, LLC | BLACKBOOK CAPITAL, INC.
Contact Information
Established
Delaware since 11/10/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OGELE, FRANKLIN IHENDU | CEO, PRESIDENT, FINOP, CCO | 2197820 |
| APEX HOMES, INC | MEMBER | — |
Disclosures
Regulatory Event
4Arbitration
1Judgment/Lien
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2001About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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