Gerard M. Caldwell
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.
Gerard Michael Caldwell, who also goes by Gerry Caldwell, was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1984. Gerard had worked at 8 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
May 8, 2012 - March 3, 2020
SANTANDER US CAPITAL MARKETS LLC
April 29, 2009 - December 5, 2011
MF GLOBAL INC.
February 5, 2007 - April 22, 2009
BANC OF AMERICA SECURITIES LLC
September 3, 2004 - February 1, 2007
COMMERZ MARKETS LLC
February 7, 1996 - August 10, 2004
BNP PARIBAS SECURITIES CORP.
October 5, 1987 - February 9, 1996
CHASE SECURITIES, INC.
March 6, 1986 - July 22, 1987
MOSELEY SECURITIES CORPORATION
February 18, 1984 - June 6, 1985
PERSHING LLC
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 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
