Jaime Annexy
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.
Jaime Annexy was a registered financial professional .
Jaime is a previously registered financial professional and started their career in finance in 1980. Jaime had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 15, Series 3, Series 5, Series 7, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2019 - July 15, 2020
SANTANDER SECURITIES LLC
June 8, 2017 - January 22, 2019
SANTANDER SECURITIES LLC
May 17, 2011 - May 24, 2017
SANTANDER SECURITIES LLC
March 28, 2011 - May 4, 2011
WTS PROPRIETARY TRADING GROUP LLC
November 6, 2008 - May 10, 2011
MASTERTRADER.COM
January 10, 2001 - September 25, 2008
MASTERTRADER.COM
November 1, 1999 - January 5, 2001
INVESTORS ST.
September 23, 1999 - November 17, 1999
BROOKSTREET SECURITIES CORPORATION
August 4, 1998 - July 27, 1999
R.K. GRACE & COMPANY
May 15, 1997 - August 19, 1998
RD CAPITAL GROUP, INC.
January 15, 1996 - May 20, 1997
PRUDENTIAL EQUITY GROUP, LLC
January 12, 1995 - January 17, 1996
MORGAN STANLEY DW INC.
April 21, 1993 - January 17, 1995
CLARK MELVIN SECURITIES CORPORATION
March 2, 1982 - June 11, 1991
MORGAN STANLEY DW INC.
November 24, 1980 - March 10, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
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 55
Date: 10/10/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 8/5/1989
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 3/6/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
