Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Mercedes Santiago toca is a financial advisor with over 30 years of experience in the industry. Catherine is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 2011. Catherine has previously worked with WELLS FARGO ADVISORS, LLC and MORGAN STANLEY DW INC.. Catherine has a broad range of experience and licenses to support clients with their investment needs.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
PR
07/18/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GUAYNABO PR)
PR
10/03/2006 - 07/19/2011
WELLS FARGO ADVISORS, LLC (GUAYNABO PR)
PR
10/01/1986 - 10/03/2006
MORGAN STANLEY DW INC. (HATO REY PR)
BOTH
Issued 03/28/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/03/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/24/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/24/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/10/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 09/22/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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