Justin Walsh

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

Authority	Category	Status	Date
RI	RA	APPROVED	2022-01-13
MA	RA	APPROVED	2019-11-27

RI RA
APPROVED

Since 2022-01-13
MA RA
APPROVED

Since 2019-11-27

Branch Locations

100 Westminster Street, Providence, RI 02903 • United States

Jamestown, RI • United States

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

Organization	City	State	From	To
Tiaa	Providence	RI	08/2015	04/2019
Tiaa-Cref Individual & Institutional Services, Llc	Providence	RI	08/2015	04/2019
Powertrack	Jamestown	RI	04/2019	11/2019
Santander Bank, Na	Boston	MA	11/2019	Present
Santander Securities, Llc	Dorchester	MA	11/2019	Present

08/2015 → 04/2019

Tiaa

Providence, RI
08/2015 → 04/2019

Tiaa-Cref Individual & Institutional Services, Llc

Providence, RI
04/2019 → 11/2019

Powertrack

Jamestown, RI
11/2019 → Present

Santander Bank, Na

Boston, MA
11/2019 → Present

Santander Securities, Llc

Dorchester, MA

Previous Registrations

2015-08-25 → 2019-04-26

Tiaa-Cref Individual & Institutional Services, Llc

Providence, RI
2013-05-09 → 2015-04-08

Td Private Client Wealth Llc

Hartford, CT
2010-07-16 → 2013-04-04

Wells Fargo Clearing Services, Llc

Minneapolis, MN

New Haven, CT

Charlotte, NC
2009-05-22 → 2009-12-23

Essex Financial Services, Inc.

Essex, CT

Essex, CT
2006-06-16 → 2009-03-25

Banc Of America Investment Services, Inc.

Hartford, CT

New Haven, CT

Norwich, CT

Norwichtown, CT

Uncasville, CT

Chester, CT

Colchester, CT

Old Lyme, CT

Norwich, CT

Chester, CT

Norwichtown, CT

Uncasville, CT

Colchester, CT
2004-02-10 → 2006-06-20

Citizens Securities, Inc.

Old Lyme, CT

East Lyme, CT

Colchester, CT

Waterford, CT

Rocky Hill, CT

Niantic, CT

Narragansett, RI

Manchester, CT

Newington, CT

Rocky Hill, CT
1998-06-08 → 2004-01-30

Morgan Stanley Dw Inc.

Mystic, CT

Other Businesses

1. Plan RI, board member of a non-profit organization, non-investment related, start date 01/01/2022, Warwick RI, 1 hour monthly, none during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-03-10
S63	Uniform Securities Agent State Law Examination	1995-02-07

S65 Uniform Investment Adviser Law Examination

1995-03-10
S63 Uniform Securities Agent State Law Examination

1995-02-07

Other Names

Justin W Walsh
Justin William Walsh

View on SEC IAPD