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SB

Santiago N. Bouquet Roldan

FENIX SECURITIES
Ciudad de Buenos Aires, 1107
Some features on this profile are disabled
CRD#: 6398632
SB

Professional summary

Santiago Nicolas Bouquet Roldan is a registered financial professional currently at FENIX SECURITIES, LLC .

Santiago is registered as a RR (Registered Representative) and started their career in finance in 2014. Santiago has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Santiago Nicolas Bouquet Roldan's CRS (Customer Relationship Summary).
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

September 12, 2016 - Present

FENIX SECURITIES, LLC

Office #1: Juana Manso 555 5 Floor D, Ciudad De Buenos Aires 1107
BD
CRD#: 159481
Ciudad de Buenos Aires,
Past

February 12, 2016 - May 26, 2016

BOLTON GLOBAL CAPITAL

BD
CRD#: 15650
MONTEVIDEO,
Past

October 24, 2014 - August 13, 2015

FENIX SECURITIES, LLC

BD
CRD#: 159481
NEW YORK, NY

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
Delaware
(5/11/2023)
RR
Florida
(4/29/2020)
RR
Illinois
(10/5/2022)
RR
Wyoming
(6/28/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/18/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/11/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/22/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FENIX SECURITIES, LLC
FENIX SECURITIES, LLC

CRD#: 159481 / SEC#: , 8-68988

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

Main Address
One World Trade Center 85th Floor, New York, NY, 10007
Mailing Address
One World Trade Center 85th Floor, New York, NY, 10007
Phone number
(212) 220-7444
Established
Delaware since 06/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FENIX FINANCIAL INC.MEMBER
ANDERSON, KATHERINE ALICEFINOP/PFO4723171
BROWN, EVAN MICHAELCHIEF COMPLIANCE OFFICER /AML COMPLIANCE OFFICER6563464
CATALANO, JOHN FRANKCOMPLIANCE PRINCIPAL2873076
GALVEZ POURTALE, JULIANMANAGING PARTNER/PRINCIPAL/ROP4474817

Disclosures

Regulatory Event3

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

FENIX SECURITIES, LLC

CRD#: 159481Ciudad De Buenos Aires 1107

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