Dean J. Canning
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.
Dean James Canning, who also goes by Dean James Canning Sr, Dean James Canning Sr., Dean Canning, was a registered financial advisor .
Dean is a previously registered financial advisor and started their career in finance in 1994. Dean had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 62, Series 24, Series 4 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
June 1, 2015 - July 3, 2015
SANTANDER SECURITIES LLC
May 16, 2013 - March 11, 2015
WADDELL & REED
May 14, 2013 - March 11, 2015
WADDELL & REED
October 5, 2009 - May 22, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - May 22, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
August 15, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 5, 2004 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
September 24, 2001 - November 12, 2003
GOLDMAN SACHS CUSTODY SOLUTIONS
October 8, 1998 - March 12, 2001
SURETRADE INC.
November 13, 1997 - November 3, 1998
CENTENNIAL VENTURES, LTD.
October 3, 1994 - March 1, 1995
MERIDIAN, DUNHILL & CO., INC.
August 30, 1994 - October 3, 1994
DUNHILL EQUITIES, INC.
February 8, 1994 - August 26, 1994
RUSSO SECURITIES INC.
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 62
Date: 2/7/1994
Corporate Securities Limited Representative ExaminationSeries 8
Date: 7/9/1999
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 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| 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.
