Uttkarsh D. Lal
Professional summary
Uttkarsh D Lal, who also goes by Dash Lal, Uttkarsh Devw Lal, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
Uttkarsh is registered as a RR (Registered Representative) and started their career in finance in 1999. Uttkarsh has worked at 6 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Uttkarsh D Lal's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2024 - Present
SANTANDER US CAPITAL MARKETS LLC
Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022Office #2: 437 Madison Avenue 6th - 8th Floor, New York, NY 10022February 2, 2015 - August 30, 2016
BARCLAYS CAPITAL INC.
October 5, 2010 - October 1, 2012
DEUTSCHE BANK SECURITIES INC.
June 5, 2007 - July 16, 2010
BARCLAYS CAPITAL INC.
May 24, 2004 - June 14, 2007
BANC OF AMERICA SECURITIES LLC
May 1, 2001 - May 26, 2004
J.P. MORGAN SECURITIES INC.
November 8, 1999 - May 1, 2001
JPMSI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/24/2024)
Exams
Series 57TO
Date: 10/1/2024
Securities Trader ExamSeries 7TO
Date: 9/19/2024
General Securities Representative ExaminationSeries 55
Date: 1/15/2015
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
SANTANDER US CAPITAL MARKETS LLC
CRD#: 150696 / SEC#: , 8-68282
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS LLC | SOLE MEMBER | |
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
| PACHECO, MERCEDES MARIA | CHIEF LEGAL OFFICER | 2909083 |
| PRIETO-MORENO, GERARDO | PRINCIPAL OPERATIONS OFFICER | 7295411 |
| SANTANGELO, MICHAEL JOHN | CFO | 4705334 |
| VITALE, PAUL N | FINOP, PRINCIPAL FINANCIAL OFFICER | 5909566 |
| WALSH, JOSEPH NORTON III | CEO | 2804671 |
Disclosures
| Regulatory Event | 5 |
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