Richard L. Evans
Professional summary
Richard Lawrence Evans was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Richard had worked at 15 firms, which includes SANTANDER US CAPITAL MARKETS LLC, CRT CAPITAL GROUP LLC, PIERPONT CAPITAL ADVISORS LLC, SUNBELT SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, AMHERST SECURITIES GROUP L.P., SPIRES FINANCIAL L.P., COASTAL SECURITIES INC., M.G.S.I. SECURITIES INC., MMAR GROUP INC., HOWARD WEIL LABOUISSE FRIEDRICHS INC., WESTCAP GOVERNMENT SECURITIES INC., WESTCAP SECURITIES L.P., UNDERWOOD NEUHAUS & CO. INCORPORATED, THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2013 - May 31, 2013
SANTANDER US CAPITAL MARKETS LLC
March 9, 2012 - February 5, 2013
CRT CAPITAL GROUP LLC
September 29, 2010 - March 20, 2012
PIERPONT CAPITAL ADVISORS LLC
June 4, 2009 - September 23, 2010
SUNBELT SECURITIES, INC.
June 3, 2009 - September 23, 2010
SUNBELT SECURITIES, INC.
February 14, 2007 - May 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 26, 2005 - May 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 8, 2000 - August 30, 2005
AMHERST SECURITIES GROUP, L.P.
December 3, 1996 - February 8, 2000
SPIRES FINANCIAL, L.P.
June 26, 1996 - November 4, 1996
COASTAL SECURITIES, INC.
February 7, 1994 - June 25, 1996
M.G.S.I. SECURITIES, INC.
November 14, 1989 - June 6, 1994
MMAR GROUP, INC.
October 3, 1988 - November 21, 1989
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
August 31, 1987 - September 19, 1988
WESTCAP GOVERNMENT SECURITIES, INC.
March 30, 1987 - September 19, 1988
WESTCAP SECURITIES, L.P.
January 13, 1987 - April 13, 1987
UNDERWOOD, NEUHAUS & CO., INCORPORATED
August 20, 1985 - January 19, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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 |
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