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Employer firm

Santander Securities LLC CRD 41791

$3.14B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • SPONSOR TO 3RD-PARTY WRAP FEE PROGRAM(S) OFFERED BY CUSTODIAN'S (NFS) ADVISORY PLATFORM

From the firm’s Form ADV. Read the guides:

Current Employers
Santander Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-03-19
  • NY RA
    APPROVED
    Since 2021-03-19

Branch Locations

23 Newkirk Plaza, Brooklyn, NY 11226 • United States

893 Flatbush Ave, Brooklyn, NY 11226 • United States

190 East 98Th Street, Brooklyn, NY 11212 • United States

1302 Avenue J, Brooklyn, NY 11230 • United States

2253 North Avenue, Scotch Plains, NJ 07076 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Santander Bank, Na Boston MA 09/2006 Present
Santander Securities, Llc Dorchester MA 09/2012 12/2022
Santander Securities, Llc Dorchester MA 12/2022 Present
Other Businesses

1. Primary residence rental property, owner, rental property income from apartment rental, non-investment related, start date 01/01/2017, Brooklyn NY, 0 hours monthly. none during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-02-07
S63 Uniform Securities Agent State Law Examination 1993-12-27
  • S65 Uniform Investment Adviser Law Examination
    2014-02-07
  • S63 Uniform Securities Agent State Law Examination
    1993-12-27
Other Names
  • Raymond Adams

View on SEC IAPD

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