Ricardo R Santos

Employer firm

Fisher Investments CRD 107342

$387B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• PORTFOLIO ASSESSMENT

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 09/2019
  Voya Financial Advisors
  Braintree, MA
• 08/2019 → 01/2025
  Gwfs Equities, Inc.
  Greenwood Village, CO
• 01/2025 → Present
  Fisher Investments
  Plano, TX

Previous Registrations

• 2019-10-08 → 2025-01-17
  Empower Advisory Group, Llc
  Andover, MA
  Greenwood Village, CO
  Rocky Hill, CT
  Ponte Vedra, FL
• 2012-03-21 → 2019-09-12
  Voya Financial Advisors, Inc.
  Braintree, MA
  Windsor, CT
• 2010-11-05 → 2012-03-19
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Wellesley Hills, MA
  Needham, MA
  New York, NY
  Boston, MA
  Needham, MA
  Boston, MA

Exams

• S66 Uniform Combined State Law Examination
  2010-04-17
• S63 Uniform Securities Agent State Law Examination
  2005-08-22

Other Names

• Ricardo R. Santos
• Ricardo R Santos
• Rick Santos
• Ricardo Santos