Joseph Furmato
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.
Joseph Furmato III, who also goes by Joe Furmato III, Joseph Furmato III, Joseph Furmato, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2002. Joseph had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2017 - November 2, 2020
SANTANDER SECURITIES LLC
October 25, 2017 - November 2, 2020
SANTANDER SECURITIES LLC
June 21, 2017 - June 23, 2017
KESTRA ADVISORY SERVICES, LLC
June 8, 2017 - June 23, 2017
KESTRA INVESTMENT SERVICES, LLC
May 19, 2003 - September 6, 2016
NEUBERGER BERMAN BD LLC
March 10, 2003 - May 19, 2003
CITIGROUP GLOBAL MARKETS INC.
February 5, 2002 - October 11, 2002
KNIGHT CAPITAL AMERICAS, L.P.
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
Series 7TO
Date: 1/2/2024
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2024
Securities Trader ExamSeries 55
Date: 3/12/2002
Limited Representative-Equity Trader ExamCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
