Darla K. Bartkowiak
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.
Darla Kerlee Bartkowiak, who also goes by Darla Kerlee Bailey, was a registered financial professional .
Darla is a previously registered financial professional and started their career in finance in 1982. Darla had worked at 12 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 3, Series 7, Series 14, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2014 - January 31, 2024
SANTANDER US CAPITAL MARKETS LLC
October 16, 2002 - October 14, 2014
AMHERST SECURITIES GROUP, L.P.
May 13, 1998 - November 27, 2001
ACCESS BROKER.COM, INC.
July 26, 1996 - May 15, 1998
SUPERIOR FINANCIAL GROUP, INC.
April 3, 1991 - February 11, 1992
MOMENTUM INDEPENDENT NETWORK INC.
March 10, 1989 - February 7, 1992
HILLTOP SECURITIES INC.
October 23, 1986 - August 16, 1988
CITIGROUP GLOBAL MARKETS INC.
May 12, 1986 - August 5, 1986
ROTAN MOSLE INC.
August 9, 1985 - November 23, 1985
SWINK & COMPANY, INC.
May 29, 1985 - July 19, 1985
UMIC, INC.
August 23, 1984 - October 5, 1984
COLLINS SECURITIES CORPORATION
September 24, 1982 - August 28, 1984
PARK, RYAN, INC.
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
Series 52TO
Date: 1/19/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
SANTANDER US CAPITAL MARKETS LLC
CRD#: 150696 / SEC#: , 8-68282
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS LLC | SOLE MEMBER | |
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
| PACHECO, MERCEDES MARIA | CHIEF LEGAL OFFICER | 2909083 |
| PRIETO-MORENO, GERARDO | PRINCIPAL OPERATIONS OFFICER | 7295411 |
| SANTANGELO, MICHAEL JOHN | CFO | 4705334 |
| VITALE, PAUL N | FINOP, PRINCIPAL FINANCIAL OFFICER | 5909566 |
| WALSH, JOSEPH NORTON III | CEO | 2804671 |
Disclosures
| Regulatory Event | 5 |
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.
