Maureen Nobile
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.
Maureen Nobile, who also goes by Maureen Nobile, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 2002. Maureen had worked at 6 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 3, 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
January 24, 2024 - August 27, 2025
SANTANDER US CAPITAL MARKETS LLC
April 18, 2022 - January 2, 2024
DEUTSCHE BANK SECURITIES INC.
November 17, 2010 - December 2, 2011
SANFORD C. BERNSTEIN & CO., LLC
April 30, 2008 - November 9, 2010
BNY MELLON CAPITAL MARKETS, LLC
June 10, 2005 - April 30, 2008
BNY CAPITAL MARKETS INC.
March 5, 2002 - June 30, 2003
BARCLAYS CAPITAL INC.
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
Series 7TO
Date: 4/3/2023
General Securities Representative ExaminationSeries 99TO
Date: 4/18/2022
Operations Professional ExaminationCurrent 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 |
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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