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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph A. Santana is a financial advisor registered with RBC Capital Markets, LLC and has been in the industry since October 25, 2001. Joseph Santana has been registered with RBC Capital Markets, LLC since August 26, 2020. Before that, Joseph Santana was registered with WELLS FARGO CLEARING SERVICES, LLC from May 19, 2006 until August 26, 2020 and with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from October 26, 2001 until May 23, 2006. Joseph Santana holds a Series 7 and Series 66 licenses. Joseph A. Santana's office is located in Sarasota, FL. Joseph Santana specializes in providing financial advice to high net worth individuals, corporations or other businesses, pension and profit sharing plans, individuals other than high net worth, charitable organizations, insurance companies, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
FL
08/26/2020 - Present
RBC Capital Markets, LLC (Sarasota FL)
FL
05/19/2006 - 08/26/2020
WELLS FARGO CLEARING SERVICES, LLC (SARASOTA FL)
FL
10/26/2001 - 05/23/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SARASOTA FL)
BOTH
Issued 06/18/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2001
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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