Robert B. Ennis
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.
Robert Bertram Ennis JR, who also goes by Bob Ennis Jr, Robert B Ennis Jr, Robert Bertram Ennis, Robert Bertram Ennis Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2013 - June 3, 2014
SANTANDER SECURITIES LLC
October 22, 2013 - June 3, 2014
SANTANDER SECURITIES LLC
September 25, 2012 - August 6, 2013
WADDELL & REED
September 13, 2012 - August 6, 2013
WADDELL & REED
June 1, 2009 - August 5, 2011
MORGAN STANLEY
June 1, 2009 - August 5, 2011
MORGAN STANLEY
August 22, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 1, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 3, 1998 - December 11, 2002
LEGG MASON WOOD WALKER, INCORPORATED
November 27, 1996 - December 11, 2002
LEGG MASON WOOD WALKER, INCORPORATED
April 21, 1992 - November 21, 1996
CHARLES SCHWAB & CO., INC.
August 20, 1987 - February 26, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 8
Date: 7/7/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SMITH, MATTHEW PETER | NATIONAL BUSINESS DIRECTOR | 3209342 |
| 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.
