Yuan-pei Mao
Professional summary
Yuan-pei Mao, who also goes by Pei-pei Mao, Yuan Pei Mao, Yuanpei Mao, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
Yuan-pei is registered as a RR (Registered Representative) and started their career in finance in 1996. Yuan-pei has worked at 10 firms and has passed the Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yuan-pei Mao's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2024 - Present
SANTANDER US CAPITAL MARKETS LLC
Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022Office #2: 437 Madison Avenue 6th - 8th Floor, New York, NY 10022November 1, 2021 - January 8, 2024
PALAFOX TRADING LLC
November 1, 2021 - January 8, 2024
CITADEL SECURITIES LLC
November 1, 2021 - January 8, 2024
CITADEL SECURITIES INSTITUTIONAL LLC
November 1, 2021 - January 8, 2024
CITADEL CLEARING LLC
May 31, 2019 - October 18, 2021
SANTANDER INVESTMENT SECURITIES INC.
October 1, 2008 - May 6, 2019
J.P. MORGAN SECURITIES LLC
May 1, 2001 - October 1, 2008
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
September 19, 1996 - February 1, 2000
HAMBRECHT & QUIST 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/2/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 3/16/1999
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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