Richard R. Mullaney
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.
Richard Ryan Mullaney JR, who also goes by Richard Ryan Mullaney, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, 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
October 14, 2014 - May 31, 2024
SANTANDER US CAPITAL MARKETS LLC
May 4, 2009 - October 14, 2014
AMHERST SECURITIES GROUP, L.P.
February 13, 1995 - April 3, 2009
NATWEST MARKETS SECURITIES INC.
May 19, 1986 - February 10, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 1984 - April 15, 1986
E. F. HUTTON & COMPANY 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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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