Frank E. Bauer-rowe
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.
Frank Erich Bauer-rowe, who also goes by Frank Erich Bauer, Frank Erich Bauer Rowe, Erich Bauer-rowe, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1986. Frank had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2018 - June 16, 2020
SANTANDER US CAPITAL MARKETS LLC
September 29, 2016 - February 23, 2018
HAITONG SECURITIES USA LLC
February 2, 2012 - May 6, 2016
CANTOR FITZGERALD & CO.
January 4, 2006 - January 30, 2012
JEFFERIES LLC
April 19, 2004 - October 24, 2005
WELLS FARGO SECURITIES, LLC
July 1, 2003 - May 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 18, 1994 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
September 10, 1992 - March 21, 1997
LEHMAN BROTHERS INC.
March 19, 1986 - July 1, 1996
LEHMAN BROTHERS PUERTO RICO 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
Exams
Series 55
Date: 3/24/2003
Limited Representative-Equity Trader ExamCurrent 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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