Charles Wermuth
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.
Charles Wermuth JR, who also goes by Charles Wermuth, Charles Wermuth Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1995. Charles had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2015 - October 21, 2015
SANTANDER SECURITIES LLC
January 22, 2015 - October 21, 2015
SANTANDER SECURITIES LLC
February 5, 2013 - January 7, 2015
M&T SECURITIES, INC.
February 5, 2013 - January 7, 2015
M&T SECURITIES, INC.
September 12, 2006 - January 31, 2013
PNC WEALTH MANAGEMENT LLC
September 12, 2006 - January 31, 2013
PNC WEALTH MANAGEMENT LLC
May 2, 2006 - August 28, 2006
CETERA INVESTMENT SERVICES LLC
May 2, 2006 - August 28, 2006
BANCNORTH INVESTMENT GROUP, INC.
January 2, 2004 - May 4, 2006
ESSEX NATIONAL SECURITIES, LLC
January 2, 2004 - May 4, 2006
ESSEX NATIONAL SECURITIES, LLC
September 4, 2002 - January 8, 2004
QUICK & REILLY, INC.
April 25, 2001 - January 8, 2004
QUICK & REILLY, INC.
June 3, 1998 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
February 17, 1998 - July 1, 1998
FISERV INVESTOR SERVICES, INC.
October 9, 1997 - February 11, 1998
MBSC, LLC
September 24, 1997 - February 11, 1998
DREYFUS INVESTMENT SERVICES COMPANY, LLC
October 16, 1995 - August 4, 1997
GRUNTAL & CO., L.L.C.
April 11, 1995 - October 12, 1995
L.C. WEGARD & 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.
