Katrina Patricia Santamaria
Professional Summary
Katrina Patricia Santamaria is a registered financial advisor currently at M. S. HOWELLS & CO. located in Scottsdale, Arizona. Katrina is registered as a RR (Registered Representative) and started their career in finance in 1999. Katrina has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
M. S. HOWELLS & CO.
Contact Information
Main Address
23350 N. Pima Rd., Scottsdale, AZ 85255Mailing Address
23350 N. Pima Rd., Scottsdale, AZ 85255Phone Number
(480) 563-2000Established
Delaware since 04/11/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | — |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
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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
(3/29/2001)
(9/20/2018)
(5/2/2002)
(9/12/2002)
(1/28/2004)
(4/15/2005)
(6/21/2005)
(4/24/2003)
(6/10/2002)
(9/30/2019)
(6/12/2002)
(4/20/2005)
(4/24/2003)
(4/24/2003)
(4/24/2003)
(3/31/2005)
(9/6/2002)
(4/24/2003)
(10/13/2023)
(4/24/2003)
(2/19/2004)
(4/24/2003)
(3/17/2015)
(4/24/2003)
(10/2/2018)
(3/16/2005)
(4/24/2003)
(1/15/2003)
(9/1/2016)
(11/1/2011)
(9/25/2018)
(4/19/2010)
(1/15/2003)
(4/25/2003)
(6/26/2002)
(4/24/2003)
(8/6/2004)
(9/25/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1999About the Series 6 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Katrina Patricia Santamaria's CRS (Customer Relationship Summary).
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