SANTANDER SECURITIES
SANTANDER SECURITIES LLC Legal Name
Adviser information for SANTANDER SECURITIES last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 478 |
|---|---|
| Investment Advisory/Research | 103 |
| Registered Broker-Dealer Representatives | 433 |
| Registered State Investment Advisers | 102 |
| Licensed Agents of an Insurance Company | 91 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 9,813 | $2.1B |
| Non-Discretionary | 0 | $0 |
| Total | 9,813 | $2.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 9,516 | $1.9B |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 3 | $1.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 45 | $43.1M |
| Other | 249 | $170.7M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 3500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 2.1B |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-56796 |
|---|---|
| SEC ERA File Number | 801-56796 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 41791 |
| Legal Entity Identifier | None |
Principal Office
75 STATE STREETMAIL CODE: MA-SST-INV4
BOSTON
MA
United States
Monday - Friday, 8:30 - 5:30
Tel: 866-736-6475, Fax: 617-740-8422
Websites
Chief Compliance Officer
LAWRENCE CARTER
CCO
75 STATE STREET
MAIL CODE: MA-SST-INV4
BOSTON
MA
United States
Tel:
617-474-5426
Fax:
617-740-8422
L**************@***********************M
(Full email address available in API data)
Regulatory Contact
CHRISTIAN GINOLFI
COMPLIANCE SR. DIRECTOR
75 STATE STREET
MAIL CODE: MA-SST-INV4
BOSTON
MA
United States
Tel:
617-533-1883
Fax:
617-740-8422
C****************@***********************M
(Full email address available in API data)
Industry Affiliates
| BANCO SANTANDER INTERNATIONAL | Banking or thrift institution |
| SANTANDER BANK N.A. | Banking or thrift institution |
| SANTANDER HOLDINGS USA INC. | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WATSON, JONATHAN EDWARD | Individual | – | DIRECTOR | 08/2022 | < 5% |
| CARTER, LAWRENCE ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2013 | < 5% |
| SNYDER, JONATHAN ANDREW | Individual | – | CHIEF FINANCIAL AND OPERATING OFFICER | 09/2016 | < 5% |
| VANNAH, JAMES DOUGLASS | Individual | – | CHIEF LEGAL OFFICER & SECRETARY | 12/2016 | < 5% |
| WEINER, JEFFREY STEPHEN | Individual | – | PRESIDENT & CEO | 11/2019 | < 5% |
| CYLC, JOHN ALLAN II | Individual | – | NATIONAL BUSINESS DIRECTOR | 04/2021 | < 5% |
| NEAFSEY, ALYSON VILLANO | Individual | – | DIRECTOR | 12/2021 | < 5% |
| SANTANDER CAPITAL HOLDINGS, LLC | Domestic Entity | – | DIRECT OWNER | 12/2023 | > 75% |
| SANTANDER HOLDINGS USA, INC. | Domestic Entity | SANTANDER CAPITAL HOLDINGS, LLC | INDIRECT OWNER | 12/2023 | > 75% |