Joseph Santos, financial advisor Valencia CA
93 score

Joseph Santos

CRD Number: 5406651
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Joseph Santos (CRD# 5406651) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Valencia, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America,na Northbridge, CA Sep 2010 - Current 6
Merrill Lynch, Pierce, Fenner & Smith Incorporated Westlake Village, CA Mar 2010 - Current 6
Ubs Financial Services Inc. Westlake Village, CA Mar 2008 - Mar 2010 2
Morgan Stanley & Company, Incorporated Valencia, CA Jul 2007 - Mar 2008 < 1
Medtronic Minimed Northridge, CA Feb 2002 - Jul 2007 5
Cruise Planners Granada Hills, CA Sep 2005 - Jun 2007 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2007
Contact Info for Joseph R. Santos
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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