Manuel J. 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.
Manuel Joseph Santos was a registered financial professional .
Manuel is a previously registered financial professional and started their career in finance in 1979. Manuel had worked at 4 firms and has passed the Series 63, Series 5 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
June 19, 1985 - September 29, 1986
EVANS TRADING COMPANY,INC.
July 13, 1984 - August 13, 1984
FIRST AFFILIATED SECURITIES, INC.
September 15, 1981 - July 31, 1984
UBS FINANCIAL SERVICES INC.
May 1, 1979 - October 22, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
EVANS TRADING COMPANY,INC.
CRD#: 14794 / SEC#: , 8-31365
Contact information
Documents
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.
