Ashur M. Gurbuz
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.
Ashur Malko Gurbuz, who also goes by Ashur Malko, was a registered financial professional .
Ashur is a previously registered financial professional and started their career in finance in 1996. Ashur had worked at 11 firms and has passed the Series 63, SIE, Series 6 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
January 5, 2015 - October 27, 2017
SANTANDER SECURITIES LLC
October 2, 2009 - February 8, 2010
CITIZENS SECURITIES, INC.
January 27, 2006 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 19, 2003 - January 25, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2001 - May 6, 2002
FIDELITY BROKERAGE SERVICES LLC
September 26, 2000 - April 11, 2001
QUICK & REILLY, INC.
January 19, 1999 - August 18, 2000
ANTAEUS CAPITAL, INC.
June 11, 1998 - August 6, 1998
ROBERT THOMAS SECURITIES, INC
February 1, 1997 - April 21, 1998
TUCKER ANTHONY INCORPORATED
April 23, 1996 - January 21, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 23, 1996 - January 21, 1997
SIGNATOR INVESTORS, 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.
