MS
Mauricio J. Santos
CETERA INVESTMENT ADVISERS LLC
HONOLULU, HI 96813
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CRD#: 5048622
MS
Professional summary
Mauricio Jorge Melo Santos, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Honolulu, Hawaii and CETERA WEALTH SERVICES, LLC located in Honolulu, Hawaii.
Mauricio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mauricio has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE INVESTMENT RELATED: NO ADDRESS: SAME AS BRANCH NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE START DATE: APPROX. NUMBER OF HOURS PER MONTH: APPROX. NUMBER OF HOURS DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: SELLS, LIFE, ANNUITIES AND LONG TERM CARE INSURANCE 2. NAME OF OTHER BUSINESS: LATITUDE WEALTH MANAGEMENT, LLC DBA LATITUDE WEALTH MANAGEMENT, LLC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/15/2016 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS. 3. NAME OF OTHER BUSINESS: REAL ESTATE RENTAL; INVESTMENT RELATED: NO; ADDRESS: 7000 HAWAII KAI DR. APT 2402 HONOLULU, HI 96825; NATURE OF BUSINESS: REAL ESTATE; START DATE: 5/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: APARTMENT RENTAL; 4. NAME OF OTHER BUSINESS: LATITUDE WEALTH ENTERPRISE, LLC ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE HOLDING COMPANY; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE HOLDING COMPANY, FILING AND PAYING TAXES;
CRS (Client Relationship Summary) - RIA
Click below to view Mauricio Jorge Melo Santos'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1100 Alakea St Ste 2400, Honolulu, HI 96813RIA
CRD#: 105644
HONOLULU, HI
Current
October 15, 2009 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1100 Alakea St Ste 2400, Honolulu, HI 96813BD
CRD#: 13572
Honolulu, HI
Past
October 30, 2009 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 19, 2008 - October 23, 2009
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
HONOLULU, HI
Past
March 29, 2006 - October 23, 2009
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
HONOLULU, HI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alaska(8/2/2011)
RR
Arizona(8/2/2011)
RR
California(1/22/2010)
RR
Colorado(8/2/2011)
RR
Connecticut(8/2/2011)
RR
Florida(1/15/2015)
RR
Georgia(8/3/2011)
RR
Hawaii(10/15/2009)
IAR
Hawaii(6/29/2023)
RR
Idaho(8/2/2011)
RR
Illinois(8/2/2011)
RR
Indiana(12/17/2015)
RR
Louisiana(5/3/2017)
RR
Maryland(4/26/2012)
RR
Massachusetts(5/9/2025)
RR
Michigan(12/6/2017)
RR
Minnesota(8/2/2011)
RR
Nevada(8/3/2011)
RR
New Hampshire(1/4/2021)
RR
New Mexico(8/2/2011)
RR
North Carolina(2/10/2020)
RR
North Dakota(2/2/2022)
RR
Ohio(10/6/2016)
RR
Oklahoma(4/15/2019)
RR
Oregon(8/2/2011)
RR
Pennsylvania(11/10/2023)
RR
Tennessee(11/10/2023)
RR
Texas(4/28/2017)
IAR
Texas(6/29/2023)
RR
Utah(3/19/2025)
RR
Virginia(5/27/2014)
RR
Washington(2/19/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
