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Current Employers
Santander Securities Llc

75 State Street Mail Code: Ma-Sst-Inv3, Boston, MA 02109 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2019-12-05
RI RA APPROVED 2012-10-19
  • MA RA
    APPROVED
    Since 2019-12-05
  • RI RA
    APPROVED
    Since 2012-10-19

Branch Locations

75 State Street Mail Code: Ma-Sst-Inv3, Boston, MA 02109 • United States

75 State Street, Boston, MA 02109 • United States

20A Main Street, Wakefield, RI 02879 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Santander Securities, Llc Dorchester MA 09/2012 11/2017
Santander Bank, Na Boston MA 09/2003 Present
Santander Securities, Llc Dorchester MA 11/2017 Present
Previous Registrations
  • 2008-05-27 → 2012-09-19
    Smithfield, RI
    Warwick, RI
    Providence, RI
    Providence, RI
    Warwick, RI
    Smithfield, RI
    Plainville, CT
    Warwick, RI
    Providence, RI
    Providence, RI
    Wickford, RI
    Providence, RI
    Coventry, RI
    Providence, RI
    Providence, RI
    Providence, RI
  • 2003-09-30 → 2008-05-27
    Ifmg Securities, Inc.
    Providence, RI
    Providence, RI
    Warwick, RI
    Providence, RI
    Plainville, CT
  • 2001-09-19 → 2003-10-07
    Boston, MA
Other Businesses

1. Rental Properties, owner, rental income from properties, non-investment related, start date 01/01/2016, Newport RI and Barrington RI, 1 hour monthly, none during trading hours. 2. Outside-In, Inc., owner, property management, landscaping and design, interior design and consultation, non-investment related, start date 03/09/2021, Newport, RI, 20 hours monthly, none during trading hours. 3. President of condo association, non-investment related, start date 04/28/2023, Newport RI, 1 hour monthly, none during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-01
S63 Uniform Securities Agent State Law Examination 1996-11-06
  • S65 Uniform Investment Adviser Law Examination
    1999-12-01
  • S63 Uniform Securities Agent State Law Examination
    1996-11-06

View on SEC IAPD

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