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Registered advisor
C••••• S• M••••
Feed of 09/15/2026
Also filed as Claire Penaflor Santiago
At current firm
2 y
since Nov 3, 2023
In the industry
29 y
since May 28, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Jul 8, 2026 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 3, 2023 · Houston, Tx
- C••••••• S••••••••• formerJul 27, 2007 to Nov 3, 2023 · Houston, Tx
- F•• S••••••••• C••••••••• formerApr 4, 2006 to Jun 22, 2006 · Houston, Tx
- T• A••••••••• I••• formerMar 24, 2004 to Nov 7, 2005 · Houston, Tx
- P•••• S••••••••• L•• no RAUMNov 24, 2003 to Apr 16, 2004 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to C••••••• S•••••••••left Jun 22, 2006, registered Jul 27, 2007 (400 days) · Other
- T• A••••••••• I••• to F•• S••••••••• C•••••••••left Nov 7, 2005, registered Apr 4, 2006 (148 days) · Other
- P•••• S••••••••• L•• to T• A••••••••• I•••left Apr 16, 2004, registered Mar 24, 2004 (-23 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address