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GS

George Santana

CHARDAN CAPITAL MARKETS LLC
NEW YORK, NY 10119
Some features on this profile are disabled
CRD#: 2586587
GS

Professional summary

George Santana is a registered financial professional currently at CHARDAN CAPITAL MARKETS LLC located in New York, New York.

George is registered as a RR (Registered Representative) and started their career in finance in 1995. George has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 87, Series 86, Series 7, Series 16 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 George Santana's CRS (Customer Relationship Summary).
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

January 12, 2015 - Present

CHARDAN CAPITAL MARKETS LLC

Office #1: 1 Pennsylvania Plaza Suite 4800, New York, NY 10119
BD
CRD#: 120128
NEW YORK, NY
Past

February 28, 2011 - January 23, 2015

ASCENDIANT CAPITAL MARKETS, LLC

BD
CRD#: 152912
IRVINE, CA
Past

December 18, 2009 - December 31, 2010

GREENER DAWN INVESTMENT CORP.

RIA
CRD#: 151073
SOLANA BEACH, CA
Past

September 18, 2009 - July 27, 2010

IRC SECURITIES LLC

BD
CRD#: 150022
NEW YORK, NY
Past

December 4, 2007 - June 24, 2008

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEWPORT BEACH, CA
Past

July 5, 2007 - November 28, 2007

B. RILEY & CO., LLC

BD
CRD#: 40355
LOS ANGELES, CA
Past

November 12, 1999 - February 1, 2002

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

February 22, 1995 - January 26, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
California
(1/12/2015)
RR
Connecticut
(1/12/2015)
RR
Florida
(11/29/2023)
RR
Illinois
(1/12/2015)
RR
Massachusetts
(1/12/2015)
RR
New Jersey
(1/12/2015)
RR
New York
(1/12/2015)
RR
Texas
(1/12/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 7/20/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/22/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 7/16/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 7/11/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 7/3/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 16
Date: 7/5/2001
NYSE Supervisory Analyst Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CC
CHARDAN CAPITAL MARKETS LLC
CHARDAN | THE GRAMERCY GROUP, LLC | CHARDAN CAPITAL MARKETS LLC | CHARDAN CAPITAL MARKETS

CRD#: 120128 / SEC#: , 8-65277

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

Main Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Mailing Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Phone number
(646) 465-9000
Established
New York since 03/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHARDAN SECURITIES, LLCMEMBER
GROSSMAN, JONAS SVEN MAGNUSPRESIDENT3186901
MILLER, ANDREW DAVIDFINOP5106774
MILLER, ANDREW DAVIDPRINCIPAL OPERATIONS CFFICER5106774
MILLER, ANDREW DAVIDPRINCIPAL FINANCIAL OFFICER5106774
SOUTHWICK, DWIGHT CHRISTIANCHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER1353036
URBACH, STEVEN AARONCEO4137317

Disclosures

Regulatory Event14

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

CHARDAN CAPITAL MARKETS LLC

CRD#: 120128New York, NY 10119

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