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Soraya Betterton

SANTANDER US CAPITAL MARKETS LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 4720840
SB

Professional summary

Soraya Betterton, who also goes by Soraya Maria Betterton, Soraya Marie Betterton, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.

Soraya is registered as a RR (Registered Representative) and started their career in finance in 2003. Soraya has worked at 2 firms and has passed the Series 65 and Series 16 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Soraya Maria Betterton | Soraya Marie Betterton

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) - BD

Click below to view Soraya Betterton's CRS (Customer Relationship Summary).

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

Current

July 24, 2023 - Present

SANTANDER US CAPITAL MARKETS LLC

Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022
BD
CRD#: 150696
New York, NY
Past

October 8, 2003 - November 2, 2005

LEGEND CAPITAL MANAGEMENT, LLC

RIA
CRD#: 118299
SAUSALITO, CA

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
IAR
Series 65
Date: 5/5/2023
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 16
Date: 7/24/2023
NYSE Supervisory Analyst Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

SU
SANTANDER US CAPITAL MARKETS LLC
AMHERST PIERPONT | SANTANDER US CAPITAL MARKETS LLC | SANTANDER INVESTMENT SECURITIES | PIERPONT SECURITIES LLC | PIERPONT SECURITIES INC. | PIERPONT SECURITIES | AMHERST SECURITIES | AMHERST PIERPONT SECURITIES LLC

CRD#: 150696 / SEC#: , 8-68282

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
437 Madison Avenue 6th - 8th Floor, New York, NY 10022
Mailing Address
437 Madison Avenue 6th Floor, New York, NY 10022
Phone number
(212) 872-0100
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SANTANDER CAPITAL HOLDINGS LLCSOLE MEMBER
LANE, JASON DEARMONDCHIEF COMPLIANCE OFFICER2671708
PACHECO, MERCEDES MARIACHIEF LEGAL OFFICER2909083
PRIETO-MORENO, GERARDOPRINCIPAL OPERATIONS OFFICER7295411
SANTANGELO, MICHAEL JOHNCFO4705334
VITALE, PAUL NFINOP, PRINCIPAL FINANCIAL OFFICER5909566
WALSH, JOSEPH NORTON IIICEO2804671

Disclosures

Regulatory Event5

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 US CAPITAL MARKETS LLC

CRD#: 150696New York, NY 10022

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