Keith P. Mayer
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.
Keith Paul Mayer, who also goes by Keith Paul Mayer, Keith P Mayer, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1993. Keith had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2019 - March 4, 2026
SANTANDER SECURITIES LLC
January 31, 2019 - March 4, 2026
SANTANDER SECURITIES LLC
May 27, 2016 - December 6, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2016 - December 6, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2009 - May 17, 2011
THE BENCHMARK COMPANY, LLC
February 24, 2006 - March 30, 2009
STANFORD GROUP COMPANY
May 3, 2004 - August 18, 2005
WELLS FARGO SECURITIES, LLC
April 29, 2002 - February 5, 2004
RYAN BECK & CO.
June 15, 2001 - May 13, 2002
GRUNTAL & CO., L.L.C.
January 13, 1997 - May 3, 2001
GLEACHER & COMPANY SECURITIES, INC.
April 30, 1993 - January 4, 1997
PRUDENTIAL EQUITY GROUP, LLC
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
Series 8
Date: 9/21/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SMITH, MATTHEW PETER | NATIONAL BUSINESS DIRECTOR | 3209342 |
| 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.
