Simon Sassenberg

SANTANDER US CAPITAL MARKETS LLC

New York, NY 10022

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CRD#: 5172726

Professional summary

Simon Sassenberg, who also goes by Simon Z Sassenberg, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.

Simon is registered as a RR (Registered Representative) and started their career in finance in 2007. Simon has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Simon Z Sassenberg

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 Simon Sassenberg'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

May 7, 2025 - Present

SANTANDER US CAPITAL MARKETS LLC

Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022

CRD#: 150696

New York, NY

Past

May 10, 2019 - September 28, 2023

BOFA SECURITIES, INC.

CRD#: 283942

NEW YORK, NY

Past

December 19, 2013 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 8, 2010 - October 18, 2013

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

December 5, 2007 - October 7, 2009

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(5/7/2025)

Exams

State Security Law Exam

Series 63

Date: 2/1/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/2017

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

SANTANDER US CAPITAL MARKETS LLC

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

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)

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

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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Advisor Monitoring

Firm Stability Insights

Simon Sassenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Simon Sassenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOFA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/1/2008

SIE

Date: 10/1/2018

Series 7

Date: 12/4/2007

Series 24

Date: 8/24/2017

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

SANTANDER US CAPITAL MARKETS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SANTANDER US CAPITAL MARKETS LLC

TRUST BUT VERIFY

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