Verified
Alan Santana is a registered investment advisor representative with Raymond James & Associates, Inc. based in Fort Lauderdale, FL. Alan has over 16 years of experience in the financial services industry. Alan is licensed to provide investment advice in Florida and the District of Columbia. Prior to joining Raymond James, Alan was with Santander Securities LLC and HSBC Securities (USA) Inc. Alan specializes in a variety of investment services including financial planning, portfolio management, and pension consulting.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
02/21/2024 - Present
Raymond James & Associates, Inc. (Fort Lauderdale FL)
FL
04/29/2020 - 02/20/2024
SANTANDER SECURITIES LLC (Miami FL)
FL
07/20/2011 - 06/07/2019
HSBC SECURITIES (USA) INC. (MIAMI FL)
FL
10/10/2007 - 07/13/2011
CITIGROUP GLOBAL MARKETS INC. (MIAMI FL)
FL
07/06/2005 - 04/10/2006
HSBC SECURITIES (USA) INC. (MIAMI BEACH FL)
BOTH
Issued 02/08/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/29/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/11/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2010
Series 3 - National Commodity Futures Examination
BC
Issued 07/05/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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