Andrew J. Dedick
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.
Andrew John Dedick was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1979. Andrew had worked at 15 firms and has passed the Series 63, SIE, 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
March 1, 2013 - February 9, 2022
SANTANDER US CAPITAL MARKETS LLC
August 24, 2011 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
April 27, 2006 - July 15, 2011
JEFFERIES LLC
April 13, 2005 - April 12, 2006
INTERCAPITAL SECURITIES LLC
November 1, 2004 - April 11, 2005
JEFFERIES LLC
December 17, 2003 - November 1, 2004
BONDS DIRECT SECURITIES LLC
July 29, 2003 - December 19, 2003
BNY MELLON SECURITIES LLC
February 3, 2003 - June 25, 2003
FHN FINANCIAL SECURITIES CORP.
September 4, 2001 - February 4, 2003
BNY MELLON SECURITIES LLC
September 3, 1997 - August 21, 2001
GRUNTAL & CO., L.L.C.
May 2, 1997 - September 10, 1997
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 20, 1992 - April 15, 1997
GRUNTAL & CO., L.L.C.
April 29, 1991 - January 20, 1992
LEGG MASON WOOD WALKER, INCORPORATED
August 24, 1989 - May 2, 1991
JANNEY MONTGOMERY SCOTT LLC
January 24, 1986 - September 1, 1989
ROTAN MOSLE INC.
December 5, 1985 - February 3, 1986
BAIRD, PATRICK & CO., INC.
June 21, 1982 - January 22, 1985
UBS FINANCIAL SERVICES INC.
September 20, 1979 - July 7, 1982
PRUDENTIAL EQUITY GROUP, LLC
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 5
Date: 11/19/1981
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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