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Steven Miles Schwartz

Santander US Capital Markets LLC

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About Steven Miles Schwartz

Steven Miles Schwartz is a financial professional with over 26 years of experience in the securities industry. Steven has held several positions at prominent firms including Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., BT Alex. Brown Incorporated, and Alex. Brown & Sons Incorporated. Steven currently is registered with Santander US Capital Markets LLC in New York, NY and holds the Series 63, Series 79TO, Series 82TO and SIE licenses.

Firm Information

Steven Schwartz is currently registered with Santander US Capital Markets LLC. Santander US Capital Markets LLC is a Limited Liability Company formed in January 2010. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. Santander US Capital Markets LLC has also been approved by the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

150

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Steven Schwartz’s Registration & Firm History

NY

09/20/2023 - Present

Santander US Capital Markets LLC (NEW YORK NY)

NY

07/02/1999 - 10/11/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

06/14/1999 - 07/16/1999

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MD

09/01/1997 - 06/14/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

NA

01/01/1997 - 09/01/1997

ALEX. BROWN & SONS INCORPORATED

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Licenses & Designations

BC

Issued 04/16/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/24/2023

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/24/1996

Series 62 - Corporate Securities Limited Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Steven Miles Schwartz.
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