JC
Joseph Cohen
SANTANDER US CAPITAL MARKETS
NEW YORK, NY 10022
CRD#: 5762558
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JC
Joseph CohenSANTANDER US CAPITAL MARKETS
Professional summary
Joseph Cohen is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2010. Joseph has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Cohen'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®
NoneExperience
Current
June 15, 2026 - Present
SANTANDER US CAPITAL MARKETS LLC
Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022BD
CRD#: 150696
NEW YORK, NY
Past
June 20, 2025 - June 10, 2026
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
October 18, 2024 - June 12, 2025
UBS SECURITIES LLC
BD
CRD#: 7654
New York, NY
Past
October 24, 2017 - May 30, 2025
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
May 10, 2013 - October 17, 2017
ITAU BBA USA SECURITIES, INC.
BD
CRD#: 118817
NEW YORK, NY
Past
April 29, 2010 - April 19, 2013
RABO SECURITIES USA, INC.
BD
CRD#: 122657
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(6/15/2026)
RR
Alaska(6/15/2026)
RR
Arizona(6/15/2026)
RR
Arkansas(6/15/2026)
RR
California(6/15/2026)
RR
Colorado(6/15/2026)
RR
Connecticut(6/15/2026)
RR
Delaware(6/15/2026)
RR
District of Columbia(6/15/2026)
RR
Florida(6/15/2026)
RR
Georgia(6/15/2026)
RR
Hawaii(6/15/2026)
RR
Idaho(6/15/2026)
RR
Illinois(6/15/2026)
RR
Indiana(6/15/2026)
RR
Iowa(6/15/2026)
RR
Kansas(6/15/2026)
RR
Kentucky(6/15/2026)
RR
Louisiana(6/15/2026)
RR
Maine(6/15/2026)
RR
Maryland(6/15/2026)
RR
Massachusetts(6/15/2026)
RR
Michigan(6/15/2026)
RR
Minnesota(6/15/2026)
RR
Mississippi(6/15/2026)
RR
Missouri(6/15/2026)
RR
Montana(6/15/2026)
RR
Nebraska(6/15/2026)
RR
Nevada(6/15/2026)
RR
New Hampshire(6/15/2026)
RR
New Jersey(6/15/2026)
RR
New Mexico(6/15/2026)
RR
New York(6/15/2026)
RR
North Carolina(6/15/2026)
RR
North Dakota(6/15/2026)
RR
Ohio(6/15/2026)
RR
Oklahoma(6/15/2026)
RR
Oregon(6/15/2026)
RR
Pennsylvania(6/15/2026)
RR
Puerto Rico(6/15/2026)
RR
Rhode Island(6/15/2026)
RR
South Carolina(6/15/2026)
RR
South Dakota(6/15/2026)
RR
Tennessee(6/15/2026)
RR
Texas(6/15/2026)
RR
Utah(6/15/2026)
RR
Vermont(6/15/2026)
RR
Virginia(6/15/2026)
RR
Washington(6/15/2026)
RR
West Virginia(6/15/2026)
RR
Wisconsin(6/15/2026)
RR
Wyoming(6/15/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 10/18/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
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)
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
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.
