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PS

Pedro M. Santiago

STERLING SMITH
HOUSTON, TX
Some features on this profile are disabled
CRD#: 4202939
PS

Professional summary

Pedro Miguel Santiago, who also goes by Miguel Miguel, Miguel, Pedro Santiago, is a registered financial professional currently at STERLING SMITH CORPORATION located in Houston, Texas.

Pedro is registered as a RR (Registered Representative) and started their career in finance in 2000. Pedro has worked at 1 firm .

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Miguel Miguel | Miguel | Pedro Santiago

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) - BD

Click below to view Pedro Miguel Santiago'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®
None

Experience

Current

July 19, 2018 - Present

STERLING SMITH CORPORATION

BD
CRD#: 38041
HOUSTON, TX
Past

January 22, 2014 - June 5, 2018

STERLING SMITH CORPORATION

BD
CRD#: 38041
HOUSTON, TX
Past

August 21, 2000 - October 10, 2000

STERLING SMITH CORPORATION

BD
CRD#: 38041
HOUSTON, TX

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

SRO Registrations
RR
FINRA

Current Firm

SS
STERLING SMITH CORPORATION
STERLING SMITH CORPORATION

CRD#: 38041 / SEC#: , 8-48058

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
4326a Scotland, Houston, TX 77007
Mailing Address
4326a Scotland, Houston, TX 77007
Phone number
(713) 861-6500
Established
Texas since 01/25/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SMITH, STERLING RICHARDPRESIDENT/DIRECTOR/CO/IBDP/CCO/CFO/F&O PRINCIPAL/OP PROF/PFO/POO/IBP/FI1008425

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.

Company Information

STERLING SMITH CORPORATION

CRD#: 38041Houston, TX

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