AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WH

Warren G. Heller

SANTANDER US CAPITAL MARKETS LLC
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 1232343
WH

Professional summary

Warren George Heller is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in Chicago, Illinois.

Warren is registered as a RR (Registered Representative) and started their career in finance in 1984. Warren has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Warren George Heller's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 9, 2016 - Present

SANTANDER US CAPITAL MARKETS LLC

Office #1: 500 West Madison, Suite 3140, Chicago, IL 60661Office #2: 437 Madison Avenue 6th Floor, New York, NY 10022Office #3: 437 Madison Avenue 6th - 8th Floor, New York, NY 10022
BD
CRD#: 150696
Chicago, IL
Past

July 15, 2009 - January 26, 2016

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

March 26, 2003 - June 11, 2009

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
GREENWICH, CT
Past

October 16, 2000 - March 21, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 4, 1999 - October 16, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

January 19, 1996 - March 17, 1999

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

April 27, 1995 - December 5, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 7, 1987 - February 13, 1995

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

January 25, 1984 - April 1, 1985

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/29/2016)
RR
Connecticut
(2/29/2016)
RR
Florida
(8/22/2018)
RR
Georgia
(9/24/2018)
RR
Illinois
(2/29/2016)
RR
Maryland
(3/8/2016)
RR
Massachusetts
(2/12/2016)
RR
Minnesota
(7/31/2017)
RR
Missouri
(1/3/2024)
RR
Nevada
(11/21/2017)
RR
New Jersey
(2/23/2022)
RR
New York
(2/9/2016)
RR
North Carolina
(4/13/2021)
RR
Ohio
(8/16/2017)
RR
Pennsylvania
(2/12/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 2/29/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/16/1996
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/22/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SU
SANTANDER US CAPITAL MARKETS LLC
AMHERST PIERPONT | SANTANDER US CAPITAL MARKETS LLC | SANTANDER INVESTMENT SECURITIES | PIERPONT SECURITIES LLC | PIERPONT SECURITIES INC. | PIERPONT SECURITIES | AMHERST SECURITIES | AMHERST PIERPONT SECURITIES LLC

CRD#: 150696 / SEC#: , 8-68282

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
437 Madison Avenue 6th - 8th Floor, New York, NY 10022
Mailing Address
437 Madison Avenue 6th Floor, New York, NY 10022
Phone number
(212) 872-0100
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SANTANDER CAPITAL HOLDINGS LLCSOLE MEMBER
LANE, JASON DEARMONDCHIEF COMPLIANCE OFFICER2671708
PACHECO, MERCEDES MARIACHIEF LEGAL OFFICER2909083
PRIETO-MORENO, GERARDOPRINCIPAL OPERATIONS OFFICER7295411
SANTANGELO, MICHAEL JOHNCFO4705334
VITALE, PAUL NFINOP, PRINCIPAL FINANCIAL OFFICER5909566
WALSH, JOSEPH NORTON IIICEO2804671

Disclosures

Regulatory Event5

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.

Company Information

SANTANDER US CAPITAL MARKETS LLC

CRD#: 150696Chicago, IL 60661

TRUST BUT VERIFY

Monitor Warren Heller

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics