KS
Katrina P. Santamaria
M. S. HOWELLS & CO.
Scottsdale, AZ 85255
Some features on this profile are disabled
CRD#: 3248779
KS
Professional summary
Katrina Patricia Santamaria is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Katrina Patricia Santamaria's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 29, 2001 - Present
M. S. HOWELLS & CO.
Office #1: 23350 N. Pima Rd., Scottsdale, AZ 85255BD
CRD#: 104100
Scottsdale, AZ
Past
July 9, 1999 - April 3, 2001
FOX & COMPANY INVESTMENTS INC.
BD
CRD#: 18517
SCOTTSDALE, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/29/2001)
RR
Arkansas(9/20/2018)
RR
California(5/2/2002)
RR
Colorado(9/12/2002)
RR
Connecticut(1/28/2004)
RR
Delaware(4/15/2005)
RR
District of Columbia(6/21/2005)
RR
Florida(4/24/2003)
RR
Georgia(6/10/2002)
RR
Idaho(9/30/2019)
RR
Illinois(6/12/2002)
RR
Indiana(4/20/2005)
RR
Iowa(4/24/2003)
RR
Kansas(4/24/2003)
RR
Maryland(4/24/2003)
RR
Massachusetts(3/31/2005)
RR
Michigan(9/6/2002)
RR
Minnesota(4/24/2003)
RR
Missouri(10/13/2023)
RR
Nebraska(4/24/2003)
RR
Nevada(2/19/2004)
RR
New Jersey(4/24/2003)
RR
New Mexico(3/17/2015)
RR
New York(4/24/2003)
RR
North Carolina(10/2/2018)
RR
Ohio(3/16/2005)
RR
Oregon(4/24/2003)
RR
Pennsylvania(1/15/2003)
RR
Puerto Rico(9/1/2016)
RR
South Carolina(11/1/2011)
RR
South Dakota(9/25/2018)
RR
Tennessee(4/19/2010)
RR
Texas(1/15/2003)
RR
Utah(4/25/2003)
RR
Virginia(6/26/2002)
RR
Washington(4/24/2003)
RR
Wisconsin(8/6/2004)
RR
Wyoming(9/25/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MS
M. S. HOWELLS & CO.
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
23350 N. Pima Rd., Scottsdale, AZ 85255
Mailing Address
23350 N. Pima Rd., Scottsdale, AZ 85255
Phone number
(480) 563-2000
Established
Delaware since 04/11/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 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 | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
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.
