John Herbert Grefe
Professional Summary
John Herbert Grefe, who also goes by John Herbert Grefe III, John Herbert III Grefe, is a registered financial advisor currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York. John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 3, Series 55, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Herbert Grefe Iii, John Herbert Iii Grefe
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
AMHERST PIERPONT | SANTANDER US CAPITAL MARKETS LLC | SANTANDER INVESTMENT SECURITIES | PIERPONT SECURITIES LLC | PIERPONT SECURITIES INC. | PIERPONT SECURITIES | AMHERST SECURITIES | AMHERST PIERPONT SECURITIES LLC
Contact Information
Main Address
437 Madison Avenue 6th - 10th Floor, New York, NY 10022Mailing Address
437 Madison Avenue 7th Floor, New York, NY 10022Phone Number
(212) 872-0100Established
Delaware since 01/14/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS LLC | SOLE MEMBER | — |
| GREFE, JOHN HERBERT | CHIEF COMPLIANCE OFFICER | 3275699 |
| PACHECO, MERCEDES MARIA | CHIEF LEGAL OFFICER | 2909083 |
| PRIETO-MORENO, GERARDO | PRINCIPAL OPERATIONS OFFICER | 7295411 |
| SANTANGELO, MICHAEL JOHN | CHIEF FINANCIAL OFFICER | 4705334 |
| VITALE, PAUL N | FINOP, PRINCIPAL FINANCIAL OFFICER | 5909566 |
| WALSH, JOSEPH NORTON III | CHIEF EXECUTIVE OFFICER | 2804671 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(9/24/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 2005Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1999About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2007About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2007About the Series 10 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 1999About the Series 26 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Herbert Grefe's CRS (Customer Relationship Summary).
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