Ismael M. Santos
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.
Ismael Muniz Santos, who also goes by Is Santos, Ismael M Santos, was a registered financial professional .
Ismael is a previously registered financial professional and started their career in finance in 1976. Ismael had worked at 16 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2013 - December 24, 2018
QUEST CAPITAL STRATEGIES, INC.
March 10, 2009 - September 2, 2011
NEWPORT COAST SECURITIES, INC.
April 17, 2006 - July 19, 2007
BROOKSTREET SECURITIES CORPORATION
July 30, 1999 - April 21, 2006
OSAIC FS, INC.
May 8, 1995 - September 20, 1999
IAC SECURITIES, INC.
January 1, 1993 - March 14, 1995
USLIFE EQUITY SALES CORP.
August 14, 1991 - June 16, 1992
NYLIFE SECURITIES LLC
August 28, 1989 - August 29, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
August 28, 1989 - August 29, 1990
MONY SECURITIES CORPORATION
April 22, 1987 - March 17, 1989
PRUCO SECURITIES, LLC.
November 27, 1985 - April 30, 1986
THE O.N. EQUITY SALES COMPANY
March 1, 1985 - July 31, 1985
AMERICAN GENERAL SECURITIES INCORPORATED
April 23, 1982 - March 1, 1985
CAL-WESTERN SECURITIES CO.
April 2, 1980 - April 19, 1982
TOWER SQUARE SECURITIES, INC.
July 20, 1976 - April 24, 1980
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 20, 1976 - April 24, 1980
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/12/1976
Registered Representative ExaminationCurrent Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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