Rudolf Malebranche
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.
Rudolf Malebranche, who also goes by Rudy Malebranche, was a registered financial advisor .
Rudolf is a previously registered financial advisor and started their career in finance in 1998. Rudolf had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
May 2, 2014 - July 28, 2015
SANTANDER SECURITIES LLC
March 5, 2014 - July 28, 2015
SANTANDER SECURITIES LLC
October 1, 2012 - January 29, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - January 29, 2014
J.P. MORGAN SECURITIES LLC
April 10, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 6, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 29, 2005 - June 21, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2002 - August 9, 2004
CHASE INVESTMENT SERVICES CORP.
January 2, 2001 - October 10, 2002
MORGAN STANLEY DW INC.
June 30, 1998 - December 12, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 5, 1998 - April 28, 1998
BLUESTONE CAPITAL CORP.
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.
