Carlos A. Zamora
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.
Carlos Alberto Zamora was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1981. Carlos had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2015 - February 3, 2016
SANTANDER US CAPITAL MARKETS LLC
August 19, 2013 - January 23, 2015
GUGGENHEIM SECURITIES, LLC
January 13, 2011 - February 20, 2013
RBC CAPITAL MARKETS, LLC
January 22, 2010 - October 13, 2010
NATWEST MARKETS SECURITIES INC.
March 30, 2009 - January 5, 2010
CANTOR FITZGERALD & CO.
December 11, 2001 - March 31, 2009
BANC OF AMERICA SECURITIES LLC
January 29, 2001 - May 1, 2001
JPMSI
June 17, 1991 - November 30, 2001
J.P. MORGAN SECURITIES INC.
September 12, 1989 - June 21, 1991
BARCLAYS CAPITAL INC.
September 21, 1987 - July 27, 1989
J.P. MORGAN SECURITIES INC.
December 11, 1985 - May 13, 1987
E. F. HUTTON & COMPANY INC
May 18, 1981 - September 2, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/31/1981
Interest Rate Options 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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