Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy Santiago is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Dorothy has been in the industry since 1988, and has been registered with the state of California since 2009. Dorothy is also registered with the state of Texas as an Investment Advisor Representative. Dorothy has a wide range of experience and expertise, including portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors. Dorothy is committed to providing her clients with the highest level of service and expertise.
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
CA
10/08/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWPORT BEACH CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GARDEN GROVE CA)
CA
05/30/1992 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
VA
07/24/1989 - 06/30/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
NA
05/25/1988 - 08/01/1989
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
NA
05/25/1988 - 08/01/1989
IDS LIFE INSURANCE COMPANY
IA
Issued 10/07/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1988
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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