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DS

Donna H. Stone

SANTANDER US CAPITAL MARKETS LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2078708
DS

Professional summary

Donna Harner Stone, who also goes by Donna Michelle Harner, Donna Michelle Stone, Donna Harner Stone, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.

Donna is registered as a RR (Registered Representative) and started their career in finance in 1996. Donna has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 16, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donna Michelle Harner | Donna Michelle Stone | Donna Harner Stone

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Donna Harner Stone's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 6, 2023 - Present

SANTANDER US CAPITAL MARKETS LLC

Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022
BD
CRD#: 150696
New York, NY
Past

September 28, 2022 - February 6, 2023

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

June 14, 2021 - July 22, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

July 12, 2017 - November 30, 2017

B. RILEY & CO., LLC

BD
CRD#: 40355
Baltimore, MD
Past

July 10, 2017 - September 15, 2022

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
ARLINGTON, VA
Past

September 5, 2008 - October 31, 2019

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
BALTIMORE, MD
Past

January 9, 2006 - July 3, 2008

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
BALTIMORE, MD
Past

April 16, 1998 - January 7, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

August 27, 1996 - April 15, 1998

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(2/6/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/18/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 16
Date: 7/10/2001
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SU
SANTANDER US CAPITAL MARKETS LLC
AMHERST PIERPONT | SANTANDER US CAPITAL MARKETS LLC | SANTANDER INVESTMENT SECURITIES | PIERPONT SECURITIES LLC | PIERPONT SECURITIES INC. | PIERPONT SECURITIES | AMHERST SECURITIES | AMHERST PIERPONT SECURITIES LLC

CRD#: 150696 / SEC#: , 8-68282

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
437 Madison Avenue 6th - 8th Floor, New York, NY 10022
Mailing Address
437 Madison Avenue 6th Floor, New York, NY 10022
Phone number
(212) 872-0100
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SANTANDER CAPITAL HOLDINGS LLCSOLE MEMBER
LANE, JASON DEARMONDCHIEF COMPLIANCE OFFICER2671708
PACHECO, MERCEDES MARIACHIEF LEGAL OFFICER2909083
PRIETO-MORENO, GERARDOPRINCIPAL OPERATIONS OFFICER7295411
SANTANGELO, MICHAEL JOHNCFO4705334
VITALE, PAUL NFINOP, PRINCIPAL FINANCIAL OFFICER5909566
WALSH, JOSEPH NORTON IIICEO2804671

Disclosures

Regulatory Event5

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.

Company Information

SANTANDER US CAPITAL MARKETS LLC

CRD#: 150696New York, NY 10022

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