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Viviana Santiago
42 Years of Experience
Chatham, NJ
3 DisclosuresBroker
Viviana Santiago is a registered investment advisor at Wells Fargo Advisors, based in Chatham, NJ, with 42 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
26 Main St, Ste 101, Chatham, NJ, 07928
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2015Denied
Customer Dispute
January 2009Award / Judgment
Customer Dispute
February 1988Award / Judgment
Other Business Activities
Viviana has 100% ownership in St James Wealth Management, a financial practice, since February 2024. She spends a few hours per week on this activity.
Employment History
Current Registrations
Wells Fargo Advisors
November 2023 - Present · 2 yrs 6 mos
Wells Fargo Advisors Financial Network, LLCBroker
November 2023 - Present · 2 yrs 6 mos
Previous Registrations
Morgan Stanley
June 2011 - November 2023 · 12 yrs 5 mos
Morgan StanleyBroker
June 2011 - November 2023 · 12 yrs 5 mos
Wells Fargo Advisors, LLC
July 2005 - July 2011 · 6 yrs
Wells Fargo Advisors, LLCBroker
December 2000 - July 2011 · 10 yrs 7 mos
Summit Financial Services Group, INC.Broker
May 1999 - December 2000 · 1 yr 7 mos
First Union Capital Markets CORP.Broker
March 1998 - May 1999 · 1 yr 2 mos
Smith Barney INC.Broker
July 1993 - March 1998 · 4 yrs 8 mos
Lehman Brothers INC.Broker
November 1992 - July 1993 · 8 mos
Prudential Securities IncorporatedBroker
June 1987 - November 1992 · 5 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1984 - July 1987 · 3 yrs 6 mos
State Registrations5 states
AZFLNJNYSC
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.