DS
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Diego Santos is a registered investment advisor, based in Ann Arbor, MI, with 11 years of industry experience.
Location
300 Parkland Plaza, Ann Arbor, MI, 48103
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Regulatory History (1)
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Criminal
October 2005Final Disposition
Other Business ActivitiesSells Insurance
Diego is a business owner of Lupes Mexican Eatery, dedicating minimal time. He is also an agent with Pegasus & Associates Insurance Services, LLC, spending about 10-20% of his time, and has a business entity for tax/investment purposes, requiring minimal time.
Employment History
Current Registrations
Spc
September 2025 - Present · 8 mos
Parkland Securities, LLCBroker
September 2025 - Present · 8 mos
Previous Registrations
LPL Financial LLC
November 2021 - September 2025 · 3 yrs 10 mos
LPL Financial LLCBroker
November 2021 - September 2025 · 3 yrs 10 mos
Transamerica Financial Advisors, INC.
March 2020 - November 2021 · 1 yr 8 mos
Transamerica Financial Advisors, INCBroker
March 2020 - November 2021 · 1 yr 8 mos
LPL Financial LLCBroker
November 2017 - March 2020 · 2 yrs 4 mos
LPL Financial LLC
November 2017 - April 2018 · 5 mos
Trilogy Capital, INC.
January 2016 - January 2020 · 4 yrs
National Planning Corporation ("npc of America" in Fl & Ny)
March 2015 - November 2017 · 2 yrs 8 mos
National Planning CorporationBroker
April 2014 - November 2017 · 3 yrs 7 mos
State Registrations17 states
AZCAFLIAINKYMAMIMONEOHORRITXVAWAWV
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.