Joseph J. Santiago
Professional summary
Joseph John Santiago was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph John Santiago, who also goes by Joseph John, was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 2000. Joseph had worked at 8 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2014 - September 19, 2014
DAWSON JAMES SECURITIES, INC.
November 26, 2012 - June 28, 2013
ROCKWELL GLOBAL CAPITAL LLC
November 30, 2011 - December 7, 2012
AEGIS CAPITAL CORP.
December 12, 2008 - December 16, 2011
FIRST MIDWEST SECURITIES, INC.
April 26, 2006 - December 23, 2008
GUNNALLEN FINANCIAL, INC
May 27, 2005 - December 23, 2008
GUNNALLEN FINANCIAL, INC
December 4, 2001 - May 19, 2005
MILESTONE GROUP MANAGEMENT LLC
January 25, 2001 - November 28, 2001
CONTINENTAL BROKER-DEALER CORP.
January 20, 2000 - May 24, 2000
WEATHERLY SECURITIES CORPORATION
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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