Joseph G. Daher
Professional summary
Joseph George Daher II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Joseph had worked at 9 firms, which includes SANTANDER US CAPITAL MARKETS LLC, JEFFERIES LLC, BONDS DIRECT SECURITIES LLC, UBS SECURITIES LLC, COAST PARTNERS FINANCIAL CORPORATION, SUTTER SECURITIES INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, KIDDER PEABODY & CO. INCORPORATED, BECKER PARIBAS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2014 - January 25, 2017
SANTANDER US CAPITAL MARKETS LLC
November 1, 2004 - August 15, 2013
JEFFERIES LLC
November 10, 2003 - November 1, 2004
BONDS DIRECT SECURITIES LLC
June 16, 1999 - May 20, 2002
UBS SECURITIES LLC
March 3, 1998 - April 22, 1998
COAST PARTNERS FINANCIAL CORPORATION
January 30, 1996 - March 15, 1996
SUTTER SECURITIES INCORPORATED
August 31, 1989 - February 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 1979 - July 10, 1989
KIDDER, PEABODY & CO. INCORPORATED
August 25, 1978 - December 28, 1979
BECKER PARIBAS INCORPORATED
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 8
Date: 2/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)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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