Judy L. Barbuto Renner
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.
Judy Lynn Barbuto Renner, who also goes by Judy Lynn Barbuto, Judy Lynn Plunkett, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1986. Judy had worked at 10 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2015 - June 8, 2018
SANTANDER SECURITIES LLC
October 1, 2012 - May 17, 2013
J.P. MORGAN SECURITIES LLC
December 16, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 17, 2006 - November 26, 2008
VFINANCE INVESTMENTS, INC
July 3, 2003 - August 21, 2007
ASHTON-CLAYTON FINANCIAL GROUP, LLC
November 12, 2002 - April 7, 2003
DOMESTIC SECURITIES, INC.
September 27, 1994 - July 16, 2002
CROWN FINANCIAL GROUP, INC.
July 6, 1993 - July 19, 1994
DREYFUS BROKERAGE SERVICES, INC.
March 31, 1989 - March 24, 1992
MURIEL SIEBERT & CO., LLC
May 14, 1987 - April 3, 1989
DREYFUS BROKERAGE SERVICES, INC.
September 12, 1986 - March 25, 1987
MURIEL SIEBERT & CO., LLC
June 17, 1986 - July 8, 1986
EMPIRE NATIONAL SECURITIES, INCORPORATED
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
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 55
Date: 6/4/1999
Limited Representative-Equity Trader ExamCurrent Firm
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
