Miguel Serrano Riesgo
Professional summary
Miguel Serrano Riesgo is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
Miguel is registered as a RR (Registered Representative) and started their career in finance in 2018. Miguel has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Miguel Serrano Riesgo's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2023 - Present
SANTANDER US CAPITAL MARKETS LLC
Office #1: 200 Liberty Street 17th Floor, New York, NY 10281June 5, 2018 - February 6, 2023
SANTANDER INVESTMENT SECURITIES 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
(2/6/2023)
Exams
FINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
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 |
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