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SM

Santiago Munoz Quiroga

Some features on this profile are disabled
CRD#: 6756210
SM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Santiago Munoz Quiroga was a registered financial professional .

Santiago is a previously registered financial professional and started their career in finance in 2017. Santiago had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 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.
(1) START DATE 06/2019; I AM THE PRESIDENT OF LOCAL CHAPTER OF THE ARKANSAS ALUMNI ASSOC., THIS IS NOT AN INVESTMENT RELATED; I DEVOTED 8 HOURS PER MONTH (NONE DURING TRADING). MY DUTIES ARE TO ARRANGE MEETING OF LOCAL CHAPTER'S BOARD OF DIRECTORS & PLAN EVENTS TO PROMOTE THE UNIVERSITY OF ARKANSAS AS WELL AS RAISE FUNDS AND GRANT SCHOLARSHIPS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 24, 2022 - April 13, 2022

CROWN CAPITAL SECURITIES, L.P.

RIA
CRD#: 6312
Chesterfield, MO
Past

July 28, 2020 - December 31, 2020

CROWN CAPITAL SECURITIES, L.P.

RIA
CRD#: 6312
Chesterfield, MO
Past

July 28, 2020 - April 13, 2022

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
Chesterfield, MO
Past

January 2, 2019 - July 22, 2020

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST LOUIS, MO
Past

November 27, 2018 - July 22, 2020

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST LOUIS, MO
Past

March 20, 2017 - March 14, 2018

CABANA ASSET MANAGEMENT

RIA
CRD#: 151418
FAYETTEVILLE, AR

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

State Security Law Exam
RR
Series 63
Date: 12/21/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/20/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/2018
General Securities Representative Examination

Current Firm

CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P. | ERIC EQUITIES, INC. | DELTA BROKER HOLDINGS, LLC

CRD#: 6312 / SEC#: 801-57663, 8-17264

BD
Terminated by SEC on 11/23/2024
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Contact information

Main Address
725 Town & Country Road Suite 530, Orange, CA 92868
Mailing Address
Phone number
(714) 547-9481
Established
Delaware since 01/04/1999
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
164

Documents

Latest Form ADV

Part 2 Brochures

ADV PART IIA APPENDIX 1 - CROWN HERITAGE (3/31/2023)
ADV PART IIA APPENDIX 1 - CROWN STERLING (3/31/2023)
ADV PART IIA (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
DELTA CAPITAL HOLDINGS, LLCGENERAL PARTNER
DELTA BROKER HOLDING, LLCLIMITED PARTNER
EDWARDS, DON MICHAELCFO/FINOP/CONTROLLER2669488
FRENCH, JONATHAN LEEPRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV.3155702
PAULSEN, DAROL KENNETHCEO/DIR./TREASURER/SROP358292
PAULSEN, PHYLLIS JEANSR. VP/DIR/CAO DIR./LIC & REG/SEC1512757

Regulatory assets under management

Total Number of Accounts5,654
AUM (Assets Under Management)$ 1,223,108,240

Disclosures

Regulatory Event8
Arbitration3

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

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

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