Frederick S. Donald
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.
Frederick Scott Donald was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1990. Frederick had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
July 1, 2016 - February 8, 2023
SANTANDER SECURITIES LLC
February 12, 2016 - February 8, 2023
SANTANDER SECURITIES LLC
May 1, 2015 - February 16, 2016
THE LEADERS GROUP, INC.
August 14, 2014 - April 28, 2015
VOYA FINANCIAL ADVISORS, INC.
September 4, 2013 - May 20, 2014
CITIZENS SECURITIES, INC.
September 25, 2006 - April 4, 2013
VALIC FINANCIAL ADVISORS, INC.
February 25, 2003 - July 7, 2005
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
December 5, 2001 - February 18, 2003
BNY MELLON SECURITIES LLC
December 3, 1997 - December 5, 2001
CONSECO SECURITIES, INC.
August 21, 1997 - October 29, 1997
FISERV INVESTOR SERVICES, INC.
October 1, 1996 - October 1, 1997
CONSECO SECURITIES, INC.
January 18, 1995 - September 17, 1996
ESSEX NATIONAL SECURITIES, LLC
October 27, 1994 - December 2, 1994
PRUCO SECURITIES, LLC.
April 3, 1990 - December 31, 1992
CAL FED INVESTMENTS
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
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 |
| 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.
