Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Santiago is a financial advisor currently working for Citigroup Global Markets Inc. in New York, NY. Caroline has been in the financial industry since 2013 and has experience working with Charles Schwab & Co., INC. and J.P. MORGAN SECURITIES LLC. Caroline holds Series 6, 7, 9, 10, 63, and 65 licenses and is registered in all states. Caroline's specializations include asset allocation advice, financial planning, pension consulting, portfolio management for businesses, and portfolio management for individuals.
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.
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.
Asset allocation advice
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.
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2
NY
08/17/2021 - Present
Citigroup Global Markets Inc. (New York NY)
NY
03/18/2014 - 08/28/2017
CHARLES SCHWAB & CO., INC. (NEW YORK CITY NY)
NY
12/06/2012 - 02/17/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
IA
Issued 12/19/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/13/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/25/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/10/2014
Series 7 - General Securities Representative Examination
BC
Issued 12/05/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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