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Santiago Caraballo

PNC Capital Markets LLC

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About Santiago Caraballo

Santiago Caraballo is a financial professional with over 18 years of experience in the industry. Santiago is currently registered with PNC Capital Markets LLC, a firm with a strong reputation in the financial services sector. Prior to joining PNC Capital Markets LLC, Santiago held positions at several prominent firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA SECURITIES LLC, BEAR, STEARNS & CO. INC., J.P. MORGAN SECURITIES INC., and J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. Santiago's extensive experience provides a comprehensive understanding of the financial markets and client needs.

Firm Information

Santiago Caraballo is currently registered with PNC Capital Markets LLC. PNC Capital Markets LLC is a Limited Liability Company formed in December 2005. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. PNC Capital Markets LLC has been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

489

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Santiago Caraballo’s Registration & Firm History

TX

09/11/2018 - Present

PNC Capital Markets LLC (Houston TX)

TX

11/01/2010 - 07/30/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)

NY

03/04/2010 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

12/03/2004 - 06/10/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

09/07/2004 - 11/09/2004

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

07/02/2002 - 08/18/2003

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/30/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/01/2024

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/01/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Santiago Caraballo.
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