Louis G. Santiago
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.
Louis Gerant Santiago was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1977. Louis had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2011 - June 4, 2012
MORGAN STANLEY
December 8, 2011 - June 4, 2012
MORGAN STANLEY
August 13, 2002 - July 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 25, 2001 - July 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 25, 2001 - October 11, 2001
QUICK & REILLY, INC.
February 23, 1999 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
July 31, 1993 - March 3, 1998
CITIGROUP GLOBAL MARKETS INC.
December 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
November 20, 1991 - November 13, 1992
PRUDENTIAL EQUITY GROUP, LLC
July 2, 1990 - October 3, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 1987 - July 19, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - September 21, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 1, 1977 - April 13, 1978
PHILIPS, APPEL & WALDEN, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
