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JB

Jean M. Bart

SANTANDER US CAPITAL MARKETS LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 2694141
JB

Professional summary

Jean Michelle Bart, who also goes by Jean M Bart, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in Stamford, Connecticut.

Jean is registered as a RR (Registered Representative) and started their career in finance in 1997. Jean has worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jean M Bart

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 Jean Michelle Bart's 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

June 1, 2015 - Present

SANTANDER US CAPITAL MARKETS LLC

Office #1: One Dock Street Suite 400, Stamford, CT 06902
BD
CRD#: 150696
Stamford, CT
Past

May 14, 2012 - June 3, 2015

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

November 1, 2010 - April 19, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 2, 2007 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 26, 2004 - May 30, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

June 6, 2000 - February 4, 2004

MERRILL LYNCH GOVERNMENT SECURITIES INC.

BD
CRD#: 19693
NEW YORK, NY
Past

November 17, 1997 - February 4, 2004

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
Arizona
(6/26/2015)
RR
California
(7/13/2015)
RR
Colorado
(5/12/2016)
RR
Connecticut
(11/2/2017)
RR
District of Columbia
(8/14/2018)
RR
Georgia
(5/19/2017)
RR
Illinois
(10/31/2016)
RR
Indiana
(7/29/2019)
RR
Iowa
(3/29/2018)
RR
Kentucky
(6/18/2018)
RR
Maryland
(2/6/2019)
RR
Massachusetts
(6/18/2018)
RR
Minnesota
(7/20/2018)
RR
Missouri
(7/10/2019)
RR
Montana
(7/29/2019)
RR
New Jersey
(4/2/2019)
RR
New York
(6/1/2015)
RR
North Carolina
(10/4/2017)
RR
Ohio
(2/7/2019)
RR
Oregon
(1/5/2017)
RR
Pennsylvania
(3/29/2018)
RR
Tennessee
(7/24/2019)
RR
Texas
(6/26/2015)
RR
Virginia
(2/21/2018)
RR
Washington
(5/23/2016)
RR
Wisconsin
(5/19/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/10/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/6/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SU
SANTANDER US CAPITAL MARKETS LLC
AMHERST PIERPONT | SANTANDER US CAPITAL MARKETS LLC | SANTANDER INVESTMENT SECURITIES | PIERPONT SECURITIES LLC | PIERPONT SECURITIES INC. | PIERPONT SECURITIES | AMHERST SECURITIES | AMHERST PIERPONT SECURITIES LLC

CRD#: 150696 / SEC#: , 8-68282

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

Main Address
437 Madison Avenue 6th - 8th Floor, New York, NY 10022
Mailing Address
437 Madison Avenue 6th Floor, New York, NY 10022
Phone number
(212) 872-0100
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SANTANDER CAPITAL HOLDINGS LLCSOLE MEMBER
LANE, JASON DEARMONDCHIEF COMPLIANCE OFFICER2671708
PACHECO, MERCEDES MARIACHIEF LEGAL OFFICER2909083
PRIETO-MORENO, GERARDOPRINCIPAL OPERATIONS OFFICER7295411
SANTANGELO, MICHAEL JOHNCFO4705334
VITALE, PAUL NFINOP, PRINCIPAL FINANCIAL OFFICER5909566
WALSH, JOSEPH NORTON IIICEO2804671

Disclosures

Regulatory Event5

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

SANTANDER US CAPITAL MARKETS LLC

CRD#: 150696Stamford, CT 06902

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