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SA

Santiago Arias Sartorius

MONEX SECURITIES
Houston, TX 77002
Some features on this profile are disabled
CRD#: 7240905
SA

Professional summary

Santiago Arias Sartorius, who also goes by Santiago Nmn Arias Sartorius, is a registered financial professional currently at MONEX SECURITIES, INC. located in Houston, Texas.

Santiago is registered as a RR (Registered Representative) and started their career in finance in 2022. Santiago has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Santiago Nmn Arias Sartorius

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 Arias Sartorius'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

March 24, 2022 - Present

MONEX SECURITIES, INC.

Office #1: 440 Louisiana Street, Suite 1240, Houston, TX 77002
BD
CRD#: 30362
Houston, TX

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
Texas
(10/11/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/15/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/18/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/29/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MONEX SECURITIES, INC.
CBI INTERNATIONAL SECURITIES, INC. | MONEX SECURITIES, INC.

CRD#: 30362 / SEC#: , 8-44874

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

Main Address
440 Louisiana Street, Suite 1240, Houston, TX 77002
Mailing Address
440 Louisiana Street, Suite 1240, Houston, TX 77002
Phone number
(713) 877-8234
Established
Delaware since 01/31/1992
Firm type
Corporation
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#
MONEX CASA DE BOLSA, S.A. DE C.V.SHAREHOLDER
CAZARES CUEVAS, CESAR IVAN IIICCO/AML OFFICER5866231
CONTRERAS, RUBEN DARIOFINOP/CFO/POO/PFO/PRESIDENT/CEO5468327
MARTINEZ, JACOBO GUADALUPESECRETARY7737026
ODRIOZOLA, IGNACIODIRECTOR7737017
TAMEZ, ANTONIO NAVADIRECTOR7737038

Disclosures

Regulatory Event7

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

MONEX SECURITIES, INC.

CRD#: 30362Houston, TX 77002

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