Gareth J. Davies
Professional summary
Gareth John Davies, who also goes by Gareth Davies, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
Gareth is registered as a RR (Registered Representative) and started their career in finance in 2016. Gareth has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 17 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gareth John Davies's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 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 10022August 22, 2016 - June 9, 2021
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/4/2025)
Exams
Series 79TO
Date: 1/3/2024
Investment Banking Registered Representative ExaminationSeries 17
Date: 3/7/2017
Limited Registered Representative ExaminationFINRA
Current 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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