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CLAIRE SANTIAGO MARSH
CLAIRE PENAFLOR SANTIAGO
CRD#: 2891873
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 2 Riverway Ste 1400
Houston, TX 77056
Houston, TX 77056
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Alabama 11/3/2023
B
Nevada 11/3/2023
B
Connecticut 11/3/2023
B
New York 11/3/2023
B
Florida 11/3/2023
B
North Carolina 11/3/2023
B
Georgia 11/3/2023
B
Ohio 11/3/2023
B
Kentucky 11/3/2023
B
Texas 11/3/2023
B
Michigan 11/3/2023
IA
Texas 11/3/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 11/3/2023
B
Registered with this firm since 11/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/27/2007 - 11/03/2023 | HOUSTON, TX | |
B | 07/27/2007 - 11/03/2023 | HOUSTON, TX | |
B | 04/04/2006 - 02/27/2007 | HOUSTON, TX | |
IA | 04/04/2006 - 06/22/2006 | HOUSTON, TX | |
IA | 03/24/2004 - 11/07/2005 | HOUSTON, TX | |
B | 03/24/2004 - 11/07/2005 | OMAHA, NE | |
IA | 11/24/2003 - 04/16/2004 | HOUSTON, TX | |
B | 07/08/2003 - 04/16/2004 | NEWARK, NJ | |
B | 05/22/1997 - 09/17/2001 | DETROIT, MI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.