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AS

Antony M. Santos

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CRD#: 3239243
AS

Professional summary

Antony Michel Santos was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Antony is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Antony had worked at 1 firm, which includes NEVWEST SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anthony Michel Santos | Michel Santos | Michael Trevan

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 19, 1999 - July 17, 2007

NEVWEST SECURITIES CORPORATION

BD
CRD#: 46464
LAS VEGAS, NV

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/23/1999
General Securities Principal Examination

Current Firm

NS
NEVWEST SECURITIES CORPORATION
NEVWEST SECURITIES CORPORATION | ONECAP SECURITIES

CRD#: 46464 / SEC#: , 8-51434

BD
Terminated by SEC on 09/14/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 07/21/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MINER, DONALD KENNEDYDIRECTOR3158242
ONECAPSIGNIFICANT SHAREHOLDER
RUMYANTSEV, SERGEYPRESIDENT - CHIEF EXECUTIVE OFFICER - FINOP4009791
SANTOS, ANTONY MICHELCHIEF COMPLIANCE OFFICER - EXECUTIVE VICE PRESIDENT - GENERAL COUNSEL3239243

Disclosures

Regulatory Event4
Civil Event1
Arbitration1

Red Flags

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Company Information

NEVWEST SECURITIES CORPORATION

CRD#: 46464

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