Peter Dallow
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.
Peter Dallow, who also goes by Petter Dallow, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1991. Peter had worked at 8 firms and has passed the Series 63, Series 7 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
November 30, 2012 - March 6, 2014
SANTANDER US CAPITAL MARKETS LLC
July 6, 2011 - November 9, 2012
CRT CAPITAL GROUP LLC
April 9, 2002 - May 4, 2011
NATWEST MARKETS SECURITIES INC.
August 13, 1996 - December 13, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 6, 1995 - July 15, 1996
MORGAN STANLEY & CO. LLC
January 5, 1995 - July 15, 1996
MORGAN STANLEY MARKET PRODUCTS INC.
April 30, 1991 - December 12, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
April 2, 1991 - April 30, 1991
MABON, NUGENT & CO.
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
