Michael J. Wasserman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Jay Wasserman was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1968. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2014 - January 31, 2019
SANTANDER US CAPITAL MARKETS LLC
January 28, 1993 - October 14, 2014
AMHERST SECURITIES GROUP, L.P.
May 15, 1992 - January 28, 1993
WESTCAP SECURITIES, L.P.
May 15, 1992 - January 28, 1993
WESTCAP GOVERNMENT SECURITIES, INC.
July 25, 1987 - April 13, 1992
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
July 21, 1978 - September 9, 1979
WESTCAP SECURITIES, L.P.
February 6, 1978 - July 30, 1978
UMIC, INC.
June 11, 1976 - April 13, 1992
MARCUS, STOWELL & BEYE, INC.
June 15, 1973 - February 22, 1976
HIBBARD & O'CONNOR SECURITIES, INC.
October 5, 1971 - April 6, 1973
HIBBARD, O'CONNOR & WEEKS, INC.
January 2, 1968 - November 22, 1971
STEIN BROTHERS AND BOYCE 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
Exams
Series 1
Date: 12/27/1967
Registered Representative ExaminationSeries 40
Date: 11/8/1976
Registered Principal ExaminationCurrent 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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