Carol J. Burgio
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.
Carol Jean Burgio, who also goes by Carol Burgio, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1989. Carol had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2023 - July 21, 2023
SANTANDER US CAPITAL MARKETS LLC
September 15, 2015 - February 6, 2023
SANTANDER INVESTMENT SECURITIES INC.
September 29, 2011 - July 9, 2015
JEFFERIES LLC
November 30, 2007 - September 30, 2011
JEFFERIES BACHE SECURITIES, LLC
April 1, 1996 - June 24, 1997
J.P. MORGAN SECURITIES INC.
July 19, 1995 - October 9, 2007
HSBC SECURITIES (USA) INC.
August 23, 1994 - April 1, 1996
CHASE SECURITIES, INC.
July 31, 1993 - July 12, 1994
CITIGROUP GLOBAL MARKETS INC.
October 21, 1992 - April 20, 1993
RED ROCK TRADING INTERNATIONAL LTD.
March 21, 1989 - July 31, 1993
LEHMAN BROTHERS 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
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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