Ahmet H. Ugurlu

SANTANDER US CAPITAL MARKETS LLC

New York, NY 10022

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CRD#: 5386785

Professional summary

Ahmet Hidir Ugurlu, who also goes by Ahmet Hidir Ugurlu, Ahmet Ugurlu, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.

Ahmet is registered as a RR (Registered Representative) and started their career in finance in 2007. Ahmet has worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ahmet Hidir Ugurlu | Ahmet Ugurlu

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 Ahmet Hidir Ugurlu'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

January 22, 2024 - Present

SANTANDER US CAPITAL MARKETS LLC

Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022Office #2: 437 Madison Avenue 6th - 8th Floor, New York, NY 10022

CRD#: 150696

New York, NY

Past

March 3, 2021 - October 25, 2021

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

August 7, 2017 - March 24, 2021

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101

NEW YORK, NY

Past

January 31, 2012 - March 22, 2017

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

September 3, 2007 - September 30, 2011

UBS SECURITIES LLC

CRD#: 7654

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
(12/19/2024)

Exams

State Security Law Exam

Series 63

Date: 12/18/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/11/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/11/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/31/2007

General Securities Representative 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

Ahmet H. Ugurlu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ahmet Hidir Ugurlu's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOMURA SECURITIES INTERNATIONAL, INC.

NATIXIS SECURITIES AMERICAS LLC

HSBC SECURITIES (USA) INC.

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/2024

Series 7TO

Date: 1/11/2024

Series 79TO

Date: 1/11/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/31/2007

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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