Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Santee is a financial professional with over 18 years of experience in the industry. Adam is currently registered with Hilltop Securities Inc. and specializes in providing a wide range of financial services, including financial planning, investment management, and educational seminars. Adam has previously worked at several prominent firms including WELLS FARGO SECURITIES, LLC, STONE & YOUNGBERG LLC, BANC OF AMERICA SECURITIES LLC, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Adam holds a Series 63 license and Series 7, 6, SIE, and 99TO licenses for securities. Adam is also registered in 53 states across the United States.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
NC
06/26/2023 - Present
Hilltop Securities Inc. (CHARLOTTE NC)
NC
07/06/2010 - 06/02/2023
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NY
08/24/2009 - 06/25/2010
STONE & YOUNGBERG LLC (NEW YORK NY)
NY
02/09/2009 - 08/03/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
05/05/2005 - 02/09/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MD
10/08/2004 - 04/29/2005
M&T SECURITIES, INC. (BALTIMORE MD)
BC
Issued 10/19/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2005
Series 7 - General Securities Representative Examination
BC
Issued 10/07/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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