Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roberto? Claim Your ProfileRoberto Santos is a financial advisor with over 7 years of experience in the industry. Roberto is a Registered Representative and Investment Advisor Representative, currently working with Merrill Lynch, Pierce, Fenner & Smith Inc. in Indian Wells, CA. Roberto has previously worked with J.P. Morgan Securities LLC and Chase Investment Services Corp. Roberto is a licensed securities professional in 53 states and the District of Columbia.
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
02/27/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (INDIAN WELLS CA)
CA
08/21/2014 - 10/17/2017
J.P. MORGAN SECURITIES LLC (PALM DESERT CA)
WA
10/01/2012 - 02/21/2014
J.P. MORGAN SECURITIES LLC (OLYMPIA WA)
WA
09/18/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (TACOMA WA)
BOTH
Issued 11/20/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/25/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/19/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/17/2017
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2012
Series 6 - Investment Company Products/Variable Contracts 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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