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SS

Sander M. Spierings

ABN AMRO CAPITAL MARKETS (USA) LLC
New York, NY 10177
Some features on this profile are disabled
CRD#: 2244581
SS

Professional summary

Sander Marcel Spierings, who also goes by Sander M Spierings, is a registered financial professional currently at ABN AMRO CAPITAL MARKETS (USA) LLC located in New York, New York.

Sander is registered as a RR (Registered Representative) and started their career in finance in 1992. Sander has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sander M Spierings

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 Sander Marcel Spierings'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

November 7, 2023 - Present

ABN AMRO CAPITAL MARKETS (USA) LLC

Office #1: 250 Park Avenue Suite 911, New York, NY 10177Office #2: 250 Park Avenue Suite 911, New York, NY 10177
BD
CRD#: 325235
New York, NY
Past

October 30, 2014 - January 9, 2024

ABN AMRO SECURITIES (USA) LLC

BD
CRD#: 151796
NEW YORK, NY
Past

June 29, 2010 - November 7, 2014

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

February 17, 2006 - December 11, 2008

RBS SECURITIES CORPORATION

BD
CRD#: 118936
NEW YORK, NY
Past

June 18, 1992 - February 16, 1996

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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
Idaho
(4/9/2024)
RR
Indiana
(4/10/2024)
RR
Massachusetts
(2/2/2024)
RR
South Dakota
(1/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2006
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 7
Date: 2/16/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/16/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AA
ABN AMRO CAPITAL MARKETS (USA) LLC
ABN AMRO CAPITAL MARKETS (USA) LLC

CRD#: 325235 / SEC#: , 8-71059

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

Main Address
250 Park Avenue Suite 911, New York, NY 10177
Mailing Address
250 Park Avenue Suite 911, New York, NY 10177
Phone number
(917) 331-4881
Established
Delaware since 02/02/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ABN AMRO BANK N.V.SOLE MEMBER
ALONGI, ROBERT PHILIP JRHEAD OF OPERATIONS2445170
LANGE, ALEXANDER CHRISTIANPRESIDENT4292286
LUO, ROGER ZHENYUANFINOP5840881
MOLESTINA, ANTONIO XAVIERGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER2846750

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

ABN AMRO CAPITAL MARKETS (USA) LLC

CRD#: 325235New York, NY 10177

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