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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

William Alexander Santos

Advisor at J.P. MORGAN SECURITIES LLC

Houston, TX

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Search this name across graphsid dfx:ria:01ee19b1-acb9-bbd6-ccc0-dbfe9697508d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 8, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Oct 8, 2008
First registration: Jun 30, 2014
Dual registered: yes, broker-dealer
Other names: WILLIAM A SANTOS
IAPD individual key: 5584992

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	May 6, 2023	n/a	yes	Houston, TX	Current employment
CITI PRIVATE ADVISORY, LLC	Former SEC adviser	Apr 11, 2022	May 13, 2022	no	Denver, CO\|Houston, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 11, 2022	May 13, 2022	no	DENVER, CO\|HOUSTON, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 2, 2016	Oct 7, 2018	no	Houston, TX\|Houston, TX\|Houston, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 30, 2014	Jul 1, 2016	no	Houston, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITIGROUP GLOBAL MARKETS INC.	CITI PRIVATE ADVISORY, LLC	May 13, 2022	Apr 11, 2022	-32	Channel change	Other
CITI PRIVATE ADVISORY, LLC	CITIGROUP GLOBAL MARKETS INC.	May 13, 2022	Apr 11, 2022	-32	Firm change after gap	Other
J.P. MORGAN SECURITIES LLC	CITI PRIVATE ADVISORY, LLC	Oct 7, 2018	Apr 11, 2022	1,282	Firm change after gap	Other
MORGAN STANLEY	J.P. MORGAN SECURITIES LLC	Jul 1, 2016	Aug 2, 2016	32	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Aug 2, 2016 to Oct 7, 2018factForm ADV
→ CITI PRIVATE ADVISORY, LLCRegistered adviserregistration: previous registration
Apr 11, 2022 to May 13, 2022factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 11, 2022 to May 13, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 30, 2014 to Jul 1, 2016factForm ADV

Dated events

Occurred
May 13, 2022
Advisor changed firm
William Alexander Santos left Citi Private Advisory, Llc for Citigroup Global Markets Inc. (registered 2022-04-11)
Form ADVobserved 4 days ago