William J. Lista
Professional summary
William John Lista JR, who also goes by Bill Lista, William John Lista, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1984. William has worked at 11 firms and has passed the Series 63, Series 50, SIE, Series 3, Series 7, Series 9, Series 10, Series 54 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William John Lista JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2023 - Present
SANTANDER US CAPITAL MARKETS LLC
Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022November 12, 2020 - February 2, 2023
PERSHING LLC
July 17, 2017 - February 2, 2023
BNY MELLON CAPITAL MARKETS, LLC
September 8, 2014 - April 7, 2017
GUGGENHEIM SECURITIES, LLC
September 22, 2008 - June 20, 2014
BARCLAYS CAPITAL INC.
May 14, 2001 - September 22, 2008
LEHMAN BROTHERS INC.
May 19, 1993 - April 24, 2001
CREDIT SUISSE SECURITIES (USA) LLC
July 13, 1989 - May 28, 1993
LEHMAN SPECIAL SECURITIES INC.
July 13, 1989 - May 28, 1993
LEHMAN GOVERNMENT SECURITIES INC.
October 17, 1988 - May 28, 1993
LEHMAN BROTHERS INC.
September 7, 1985 - April 7, 1987
ROBERT W. BAIRD & CO. INCORPORATED
July 26, 1984 - August 29, 1985
BUTCHER & SINGER 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
(7/10/2023)
Exams
Series 8
Date: 5/2/1986
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
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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