Ben Santiago in

Ben Santiago

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OSJ Manager at Capital Resources and Insurance
📍 Costa Mesa, California, United States

Ben Santiago is an OSJ Manager with over 20 years of experience in the financial industry, specializing in back-office operations, trading, field supervision, and compliance. A graduate of UC San Diego, he holds Series 51 and Series 66 certifications, underscoring his deep expertise in brokerage and investment advisory functions.

His professional background includes detailed knowledge of a vast range of financial products, from individual equities, bonds, and mutual funds to more complex instruments like REITs, alternative investments, and annuities.

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Experience
19 Years
Current Role
OSJ Manager
Job Level
Middle
Location
Costa Mesa, California, United States
Personality Overview

How Ben shows up

Communication Style
Decision Approach
Work Preference

Behavioral traits and communication patterns that shape how this person evaluates opportunities, builds trust, and makes decisions in professional settings.

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Priorities

Topics Ben cares about

Field Supervision
A core component of his roles at Capital Resources and Transamerica, involving direct supervision and training of Branch Office Supervisors and Registered Representatives.
Broker-Dealer Operations
Managed all Pershing LLC brokerage firm trading activities, including trade approvals and margin calls, in a prior role at National Planning Corporation.
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Career

Work history

10-2021
OSJ Manager
Capital Resources and Insurance
7-2016 - 4-2021
Regional Manager - Field Supervision
Transamerica Financial Advisors, Inc.
10-2006 - 7-2016
Broker-Dealer Operations Manager - Trading and Brokerage Services
National Planning Corporation (NPC)
In the press

Media appearances

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Education
Bachelor’s Degree
UC San Diego
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

Dominance, influence, steadiness, and calculativeness scores with guidance on how this person prefers to communicate and decide.

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