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LP

Lemont Pringle

Some features on this profile are disabled
CRD#: 4174202
LP

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.

Lemont Pringle, who also goes by Lamont Pringle, Lemont P Pringle, Lemont Pringle, Lemontt Phillip Pringle, was a registered financial professional .

Lemont is a previously registered financial professional and started their career in finance in 2004. Lemont had worked at 5 firms and has passed the Series 66, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lamont Pringle | Lemont P Pringle | Lemont Pringle | Lemontt Phillip Pringle

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 23, 2013 - April 25, 2014

SANTANDER SECURITIES LLC

RIA
CRD#: 41791
HOWELL, NJ
Past

October 18, 2013 - April 25, 2014

SANTANDER SECURITIES LLC

BD
CRD#: 41791
HOWELL, NJ
Past

February 1, 2010 - November 10, 2010

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
YONKERS, NY
Past

January 14, 2010 - November 10, 2010

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
YONKERS, NY
Past

December 11, 2008 - September 9, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
MINNEAPOLIS, MN
Past

December 3, 2008 - September 9, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 17, 2008 - July 8, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

January 15, 2008 - July 8, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ
Past

November 27, 2006 - October 25, 2007

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PLAINSBORO, NJ
Past

November 21, 2006 - October 25, 2007

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PLAINSBORO, NJ
Past

July 23, 2004 - October 14, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

March 23, 2004 - October 14, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SANTANDER SECURITIES LLC
SANTANDER INVESTMENT SERVICES | SANTANDER SECURITIES LLC | SANTANDER SECURITIES CORPORATION OF PUERTO RICO | SANTANDER SECURITIES CORPORATION | SANTANDER SECURITIES

CRD#: 41791 / SEC#: 801-56796, 8-49571

RIA
Registered Investment Advisory firm - SEC (9/2/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/22/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/18/2013
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/10/2003
General Securities Representative Examination

Current Firm

SS
SANTANDER SECURITIES LLC
SANTANDER INVESTMENT SERVICES | SANTANDER SECURITIES LLC | SANTANDER SECURITIES CORPORATION OF PUERTO RICO | SANTANDER SECURITIES CORPORATION | SANTANDER SECURITIES

CRD#: 41791 / SEC#: 801-56796, 8-49571

RIA
Registered Investment Advisory firm - SEC (9/2/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109
Mailing Address
75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109
Phone number
(866) 736-6475
Established
Delaware since 01/03/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
440

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

SSLLC FMAX ADVISORY PROGRAM WRAP FEE BROCHURE 11.2025 (11/5/2025)

Direct owners and executive officers

NamePositionCRD#
SANTANDER CAPITAL HOLDINGS, LLCDIRECT OWNER
BOWLER, DANIEL PCHIEF FINANCIAL OFFICER5354805
CARTER, LAWRENCE ANDREWCHIEF COMPLIANCE OFFICER2113682
NEURATH, DUSTINDIRECTOR8044630
SCHMITZ, NICOLECHIEF OPERATIONS OFFICER2815862
SMITH, MATTHEW PETERNATIONAL BUSINESS DIRECTOR3209342
SNYDER, JONATHAN ANDREWPRESIDENT & CEO6514215
VANNAH, JAMES DOUGLASSCHIEF LEGAL OFFICER & SECRETARY5679595
VILLANO, ALYSON NICOLEDIRECTOR7473984
WATSON, JONATHAN EDWARDDIRECTOR7631421

Regulatory assets under management

Total Number of Accounts10,401
AUM (Assets Under Management)$ 2,553,311,017

Disclosures

Regulatory Event12
Arbitration7

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.

Company Information

SANTANDER SECURITIES LLC

CRD#: 41791

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