Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek Santiago is a financial professional with over 15 years of experience in the industry. Derek has a strong background in securities, having held positions at several prominent firms including Goldman Sachs, BMO Capital Markets, Wells Fargo Securities and Mizuho Securities. Derek is currently registered with Wells Fargo Securities, LLC in New York. Derek has a broad range of experience and holds several licenses including Series 7, 63, 6, 22, 52, 82 and 99.
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.
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.
1
2
NY
12/12/2022 - Present
Wells Fargo Securities, LLC (New York NY)
NY
05/05/2021 - 11/15/2022
MIZUHO SECURITIES USA LLC (NEW YORK NY)
NY
10/02/2019 - 05/06/2021
WELLS FARGO SECURITIES, LLC (New York NY)
NY
08/31/2010 - 10/03/2019
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
NY
03/17/2008 - 09/15/2010
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 04/09/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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