Andrew J. Wohl
Professional summary
Andrew J Wohl, who also goes by Andrew Joseph Wohl, Andrew Wohl, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1990. Andrew has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew J Wohl's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2023 - Present
SANTANDER US CAPITAL MARKETS LLC
Office #1: 200 Liberty Street 17th Floor, New York, NY 10281May 6, 2021 - February 6, 2023
SANTANDER INVESTMENT SECURITIES INC.
February 3, 2010 - November 8, 2019
SG AMERICAS SECURITIES, LLC
August 12, 2008 - February 5, 2010
BARCLAYS CAPITAL INC.
October 18, 2005 - August 5, 2008
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
January 17, 2001 - September 29, 2005
DEUTSCHE BANK SECURITIES INC.
March 24, 1998 - January 18, 2001
FIDELITY BROKERAGE SERVICES LLC
June 3, 1996 - March 24, 1998
NATIONAL FINANCIAL SERVICES LLC
September 8, 1993 - February 21, 1996
GRUNTAL & CO., L.L.C.
July 19, 1991 - May 6, 1992
JOSEPHTHAL & CO., INC.
June 14, 1991 - July 23, 1991
FIRST CHOICE SECURITIES CORP.
October 5, 1990 - March 18, 1991
BARRETT DAY SECURITIES, 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
(2/6/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
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
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