SK
Samuel W. Knapp
SANTANDER US CAPITAL MARKETS LLC
New York, NY 10022
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CRD#: 7323618
SK
Professional summary
Samuel W Knapp, who also goes by Samuel Knapp, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2021. Samuel has worked at 3 firms and has passed the Series 66, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Samuel Knapp
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Name: Samuel Knapp Inv rel: N Add: 315 350 N Warsaw, IN. 46582 Nature: Military Position: Platoon Leader Start date: 5/15/2020 No. HR/MO: 72 No. HR/MO during sec trading: 8 2) Army National Guard/ investment related?: / Headquarters Indiana National Guard 2002 South Holt Road, Indianapolis, Indiana US/ Officer/ Platoon Leader/ start date: 5/15/2020/ Time reqd during working hours?; yes
CRS (Client Relationship Summary) - BD
Click below to view Samuel W Knapp's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 10, 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 10022BD
CRD#: 150696
New York, NY
Past
September 24, 2021 - August 8, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
INDIANAPOLIS, IN
Past
July 29, 2021 - August 8, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
INDIANAPOLIS, IN
Past
April 22, 2021 - July 15, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Indianapolis, IN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(7/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 7/15/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 4/21/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
SU
SANTANDER US CAPITAL MARKETS LLC
AMHERST PIERPONT | SANTANDER US CAPITAL MARKETS LLC | SANTANDER INVESTMENT SECURITIES | PIERPONT SECURITIES LLC | PIERPONT SECURITIES INC. | PIERPONT SECURITIES | AMHERST SECURITIES | AMHERST PIERPONT SECURITIES LLC
CRD#: 150696 / SEC#: , 8-68282
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
437 Madison Avenue 6th - 8th Floor, New York, NY 10022
Mailing Address
437 Madison Avenue 6th Floor, New York, NY 10022
Phone number
(212) 872-0100
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
