Scott T. Herbert
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.
Scott Thomas Herbert was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2013 - January 13, 2014
SANTANDER SECURITIES LLC
April 11, 2013 - January 13, 2014
SANTANDER SECURITIES LLC
September 27, 2011 - March 25, 2013
NEW ENGLAND SECURITIES
June 2, 2011 - March 25, 2013
NEW ENGLAND SECURITIES
January 1, 2008 - March 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - March 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 19, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
November 13, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 7, 2005 - November 1, 2007
COMMONWEALTH FINANCIAL NETWORK
November 1, 2005 - November 1, 2007
COMMONWEALTH FINANCIAL NETWORK
November 8, 2004 - November 25, 2005
OSAIC INSTITUTIONS, INC.
October 13, 2004 - November 25, 2005
OSAIC INSTITUTIONS, INC.
July 25, 2001 - November 20, 2001
CETERA INVESTMENT SERVICES LLC
September 25, 2000 - July 23, 2001
QUICK & REILLY, INC.
May 25, 2000 - September 25, 2000
FIS SECURITIES, INC.
July 29, 1999 - November 3, 1999
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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.
