Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Octavio? Claim Your ProfileOctavio Santos has over 20 years of experience in the financial industry. Octavio is currently registered with Thrivent Investment Management Inc. as a Registered Representative and Investment Advisor Representative. Octavio has held previous roles at a number of other firms, including MML Investors Services, LLC, Valic Financial Advisors, Inc., and NYLIFE Securities LLC. Octavio has passed both the Series 63 and Series 65 exams. Octavio also holds the Series 7, Series 24, Series 52TO and Series 53 exams. Octavio offers financial planning and portfolio management services to individuals and high-net-worth clients.
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.
Personalized portfolio management to meet individual financial objectives.
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
FL
08/19/2022 - Present
Thrivent Investment Management Inc. (Fort Lauderdale FL)
FL
08/20/2021 - 05/06/2022
MML INVESTORS SERVICES, LLC (Coral Gables FL)
TX
04/05/2017 - 09/27/2019
VALIC FINANCIAL ADVISORS, INC. (PLANO TX)
TX
11/03/2015 - 04/12/2017
NYLIFE SECURITIES LLC (DALLAS TX)
FL
04/03/2008 - 08/14/2015
METLIFE SECURITIES INC. (PLANTATION FL)
FL
05/05/2006 - 12/13/2007
UVEST FINANCIAL SERVICES GROUP, INC. (CORAL GABLES FL)
FL
01/28/2004 - 05/24/2006
SUNTRUST INVESTMENT SERVICES, INC. (MIAMI FL)
TN
11/07/2002 - 01/23/2004
PFIC SECURITIES CORPORATION (FRANKLIN TN)
CA
06/24/1999 - 10/01/2002
WM FINANCIAL SERVICES, INC. (IRVINE CA)
IL
07/24/1998 - 06/24/1999
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
08/04/1997 - 07/24/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/11/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/10/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/11/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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