Maura S. Almy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Maura S Almy, who also goes by Maura Ellen Almy, Maura Ellen Smith Almy, Maura Smith Almy, Maura Ellen Smith, was a registered financial professional .
Maura is a previously registered financial professional and started their career in finance in 1982. Maura had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2014 - August 15, 2018
SANTANDER SECURITIES LLC
April 13, 2009 - October 28, 2013
CREDIT SUISSE SECURITIES (USA) LLC
October 8, 1998 - April 28, 2009
NATIONAL FINANCIAL SERVICES LLC
April 29, 1998 - October 1, 1998
BARBER & BRONSON INCORPORATED
September 16, 1994 - March 16, 1998
NATIONAL FINANCIAL SERVICES LLC
June 25, 1993 - June 28, 1994
J.P. MORGAN SECURITIES LLC
December 8, 1986 - January 14, 1988
MORGAN STANLEY DW INC.
October 8, 1985 - June 19, 1986
FIDELITY BROKERAGE SERVICES LLC
April 23, 1982 - January 14, 1985
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
