Albert P. Desimone
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.
Albert Pasquale Desimone, who also goes by Albert P Desimone, Albert Pasquale Desimone, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1994. Albert had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2012 - October 28, 2016
SANTANDER SECURITIES LLC
December 15, 2008 - September 19, 2012
LPL FINANCIAL LLC
February 1, 2006 - September 27, 2007
PNC WEALTH MANAGEMENT LLC
April 7, 2005 - October 25, 2005
CHASE INVESTMENT SERVICES CORP.
October 22, 2002 - March 29, 2005
IFMG SECURITIES, INC.
July 28, 1999 - January 2, 2002
HIGHLANDER CAPITAL GROUP, INC.
January 19, 1999 - July 30, 1999
SEABOARD SECURITIES, INC.
September 26, 1995 - January 13, 1999
GRODSKY ASSOCIATES, INC.
January 20, 1995 - October 3, 1995
HIGHLANDER CAPITAL GROUP, INC.
July 15, 1994 - December 31, 1994
A.S. GOLDMEN & CO., 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
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.
