Jose A. Kliksberg
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.
Jose Amos Kliksberg, who also goes by Jose Amos Kliksberg Mr., Jose Amos Kliksberg, Jose Kliksberg, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2005. Jose had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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
September 8, 2020 - June 4, 2021
SANTANDER US CAPITAL MARKETS LLC
October 31, 2019 - September 9, 2020
MORGAN STANLEY
October 31, 2019 - September 9, 2020
MORGAN STANLEY
July 24, 2017 - March 20, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2016 - July 10, 2017
MORGAN STANLEY & CO. LLC
May 12, 2016 - September 9, 2016
MORGAN STANLEY
September 28, 2011 - March 21, 2016
MORGAN STANLEY & CO. LLC
May 3, 2007 - December 11, 2007
COMMERZ MARKETS LLC
September 5, 2005 - May 10, 2007
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/15/2024
General Securities Representative 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
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