Christopher J. Helwig

SANTANDER US CAPITAL MARKETS LLC

New York, NY 10022

Some features on this profile are disabled

CRD#: 2874197

Professional summary

Christopher J Helwig, who also goes by Chris Helwig, Christopher John Helwig, Christopher Helwig, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2004. Christopher has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Helwig | Christopher John Helwig | Christopher Helwig

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 Christopher J Helwig'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

April 29, 2024 - Present

SANTANDER US CAPITAL MARKETS LLC

Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022Office #2: 437 Madison Avenue 6th - 8th Floor, New York, NY 10022

CRD#: 150696

New York, NY

Past

April 11, 2022 - April 3, 2024

BMO CAPITAL MARKETS CORP.

CRD#: 16686

New York, NY

Past

December 3, 2015 - March 24, 2022

SANTANDER US CAPITAL MARKETS LLC

CRD#: 150696

NEW YORK, NY

Past

July 29, 2010 - December 14, 2015

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

October 5, 2009 - July 26, 2010

BRAVER STERN SECURITIES LLC

CRD#: 29108

NEW YORK, NY

Past

August 4, 2008 - October 6, 2009

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 28, 2004 - June 13, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(4/29/2024)

Exams

State Security Law Exam

Series 63

Date: 6/14/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/27/2004

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

SANTANDER US CAPITAL MARKETS LLC

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

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
SANTANDER CAPITAL HOLDINGS LLC	SOLE MEMBER
LANE, JASON DEARMOND	CHIEF COMPLIANCE OFFICER	2671708
PACHECO, MERCEDES MARIA	CHIEF LEGAL OFFICER	2909083
PRIETO-MORENO, GERARDO	PRINCIPAL OPERATIONS OFFICER	7295411
SANTANGELO, MICHAEL JOHN	CFO	4705334
VITALE, PAUL N	FINOP, PRINCIPAL FINANCIAL OFFICER	5909566
WALSH, JOSEPH NORTON III	CEO	2804671

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher J. Helwig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher J Helwig's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO CAPITAL MARKETS CORP.

SANTANDER US CAPITAL MARKETS LLC

DEUTSCHE BANK SECURITIES INC.

BRAVER STERN SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/14/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/27/2004

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

SANTANDER US CAPITAL MARKETS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SANTANDER US CAPITAL MARKETS LLC

TRUST BUT VERIFY

Similar Advisors