Caroline Santiago

Current Employers

Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-17
NJ	RA	APPROVED	2017-10-02

NY RA
APPROVED

Since 2021-08-17
NJ RA
APPROVED

Since 2017-10-02

Branch Locations

Secaucus, NJ • United States

Citi Wealth Management, Supervision 153 E. 53Rd Street, Fl 25, New York, NY 10022 • United States

Citi Wealth Management, Supervision 201 S. Biscayne Blvd. 6Th Fl, Miami, FL 33131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	New York City	NY	02/2014	08/2017
Charles Schwab Bank	New York City	NY	02/2014	08/2017
Citigroup	New York	NY	08/2017	Present

02/2014 → 08/2017

Charles Schwab & Co., Inc.

New York City, NY
02/2014 → 08/2017

Charles Schwab Bank

New York City, NY
08/2017 → Present

Citigroup

New York, NY

Previous Registrations

2014-12-19 → 2017-08-28

Charles Schwab & Co., Inc.

New York City, NY

New York City, NY

Other Businesses

Luxottica/Sunglass Hut; Not investment-related; New York, NY; Affiliation started 05/01/2018; Title: Associate; Duties: Sales associate; No time is devoted to the business each month during securities trading hours; 40 hours are devoted to the business each month outside of securities trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-12-19
S63	Uniform Securities Agent State Law Examination	2012-12-13

S65 Uniform Investment Adviser Law Examination

2014-12-19
S63 Uniform Securities Agent State Law Examination

2012-12-13

View on SEC IAPD