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Warren George Heller

Santander US Capital Markets LLC

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About Warren George Heller

Warren Heller is a financial professional with over 30 years of experience in the industry. Warren has held positions at several prominent firms including Donaldson, Lufkin & Jenrette Securities Corporation, Smith Barney Inc., Goldman, Sachs & Co., Paribas Corporation, CRT Capital Group LLC, and RBS Securities Inc. Currently, Warren is a Registered Representative with Santander US Capital Markets LLC.

Firm Information

Warren Heller 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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Warren Heller’s Registration & Firm History

NY

02/09/2016 - Present

Santander US Capital Markets LLC (NEW YORK NY)

CT

07/15/2009 - 01/26/2016

CRT CAPITAL GROUP LLC (STAMFORD CT)

CT

03/26/2003 - 06/11/2009

RBS SECURITIES INC. (GREENWICH CT)

NY

10/16/2000 - 03/21/2003

CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)

NJ

03/04/1999 - 10/16/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

01/19/1996 - 03/17/1999

PARIBAS CORPORATION (NEW YORK NY)

NY

04/27/1995 - 12/05/1995

SMITH BARNEY INC. (NEW YORK NY)

NY

04/07/1987 - 02/13/1995

GOLDMAN, SACHS & CO. (NEW YORK NY)

NA

01/25/1984 - 04/01/1985

L. F. ROTHSCHILD, UNTERBERG, TOWBIN

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Licenses & Designations

BC

Issued 02/29/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/22/2017

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/16/1996

Series 3 - National Commodity Futures Examination

BC

Issued 01/21/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Warren George Heller.
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