Craig S. Folk
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.
Craig Stephen Folk, who also goes by Craig S Folk, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1998. Craig had worked at 8 firms and has passed the Series 65, Series 63, Series 7 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
February 12, 2013 - May 7, 2014
SANTANDER SECURITIES LLC
January 25, 2013 - May 7, 2014
SANTANDER SECURITIES LLC
October 8, 2010 - September 6, 2012
CHASE INVESTMENT SERVICES CORP.
March 22, 2007 - September 6, 2012
CHASE INVESTMENT SERVICES CORP.
May 25, 2004 - December 1, 2006
IFMG SECURITIES, INC.
May 30, 2002 - August 11, 2003
MORGAN SPAULDING, INC.
September 27, 2000 - January 12, 2001
NATIONAL SECURITIES CORPORATION
May 25, 2000 - September 13, 2000
THE AGEAN GROUP, INC
September 15, 1998 - January 1, 1999
J. P. GIBBONS & CO., INC.
April 1, 1998 - July 10, 1998
ROAN CAPITAL PARTNERS L.P.
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.
