J Severin Bergeron
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.
J Severin Bergeron, who also goes by J. Severin R Bergeron, J. Severin Robert Bergeron, Jseverin Robert Bergeron, Severin Robert Bergeron, Severin Bergeron, Jseverin Bergeron, was a registered financial professional .
J Severin is a previously registered financial professional and started their career in finance in 2001. J Severin had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2017 - October 28, 2024
SANTANDER SECURITIES LLC
February 10, 2017 - October 28, 2024
SANTANDER SECURITIES LLC
August 13, 2014 - January 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 2014 - January 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 2013 - July 9, 2014
EQUITABLE ADVISORS, LLC
May 18, 2009 - May 10, 2010
STRATEGIC ADVISERS LLC
February 23, 2007 - May 7, 2010
FIDELITY BROKERAGE SERVICES LLC
January 16, 2001 - December 6, 2006
FIDELITY BROKERAGE SERVICES LLC
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.
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