Terrie E. Aoki
Professional summary
Terrie Edwards Aoki, who also goes by Terrie Alice Edwards, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
Terrie is registered as a RR (Registered Representative) and started their career in finance in 1984. Terrie has worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 55, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Terrie Edwards Aoki's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2023 - Present
SANTANDER US CAPITAL MARKETS LLC
Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022July 10, 2018 - February 6, 2023
SANTANDER INVESTMENT SECURITIES INC.
April 3, 2017 - June 25, 2018
MUFG SECURITIES AMERICAS INC.
March 28, 2011 - June 25, 2018
MUFG AMERICAS CORPORATE ADVISORY, INC.
February 9, 2007 - July 2, 2007
KBR CAPITAL MARKETS, LLC
November 10, 2006 - February 27, 2007
ROTHSCHILD & CO REDBURN
June 14, 2001 - April 13, 2005
KAUPTHING SECURITIES, INC.
September 10, 1999 - December 21, 2001
AUERBACH GRAYSON & COMPANY LLC
April 20, 1998 - September 8, 1999
DAIWA CAPITAL MARKETS AMERICA INC.
September 9, 1996 - April 20, 1998
RASHID HUSSAIN SECURITIES INC.
November 12, 1993 - June 12, 1996
DEUTSCHE BANK SECURITIES INC.
October 24, 1988 - October 25, 1993
JAMES CAPEL INCORPORATED
May 22, 1984 - August 31, 1988
KANKAKU SECURITIES (AMERICA) 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
(2/6/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 6/14/1999
Limited Representative-Equity Trader ExamFINRA
Current 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 |
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