Daniel M. Devane
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.
Daniel M Devane, who also goes by Daniel Mark Devane, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2002. Daniel had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2017 - August 1, 2018
SANTANDER SECURITIES LLC
September 22, 2017 - August 1, 2018
SANTANDER SECURITIES LLC
June 5, 2012 - September 7, 2017
VOYA FINANCIAL ADVISORS, INC.
March 23, 2012 - September 7, 2017
VOYA FINANCIAL ADVISORS, INC.
November 6, 2009 - March 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 18, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 17, 2005 - August 12, 2008
STRATEGIC ADVISERS LLC
April 1, 2004 - August 12, 2008
FIDELITY BROKERAGE SERVICES LLC
January 23, 2003 - April 1, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
June 19, 2002 - January 7, 2003
WADDELL & REED
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
