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SL

Simon J. Leopold

SANTANDER US CAPITAL MARKETS
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 3277567
SL
Simon J LeopoldSANTANDER US CAPITAL MARKETS

Professional summary

Simon J Leopold, who also goes by Simon Leopold, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.

Simon is registered as a RR (Registered Representative) and started their career in finance in 2001. Simon has worked at 4 firms and has passed the Series 63, SIE, Series 79TO, Series 7 and Series 24 exams.

Aliases

Simon Leopold

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 Simon J Leopold'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

July 17, 2026 - Present

SANTANDER US CAPITAL MARKETS LLC

Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022
BD
CRD#: 150696
NEW YORK, NY
Past

June 6, 2024 - July 17, 2026

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

April 27, 2012 - June 25, 2012

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

January 18, 2011 - February 7, 2012

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
NEW YORK, NY
Past

August 16, 2001 - January 18, 2011

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Michigan
(7/17/2026)
RR
New York
(7/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/6/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/5/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/10/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SU
SANTANDER US CAPITAL MARKETS LLC
AMHERST PIERPONT | SANTANDER US CAPITAL MARKETS LLC | SANTANDER INVESTMENT SECURITIES | PIERPONT SECURITIES LLC | PIERPONT SECURITIES INC. | PIERPONT SECURITIES | AMHERST SECURITIES | AMHERST PIERPONT SECURITIES LLC

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

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

NamePositionCRD#
SANTANDER CAPITAL HOLDINGS LLCSOLE MEMBER
LANE, JASON DEARMONDCHIEF COMPLIANCE OFFICER2671708
PACHECO, MERCEDES MARIACHIEF LEGAL OFFICER2909083
PRIETO-MORENO, GERARDOPRINCIPAL OPERATIONS OFFICER7295411
SANTANGELO, MICHAEL JOHNCFO4705334
VITALE, PAUL NFINOP, PRINCIPAL FINANCIAL OFFICER5909566
WALSH, JOSEPH NORTON IIICEO2804671

Disclosures

Regulatory Event5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SANTANDER US CAPITAL MARKETS LLC

CRD#: 150696New York, NY 10022

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