SANTANDER SECURITIES LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 41791). Regulatory assets under management: $3.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Charities, Other.
Showing 25 of 87 people.
| Name | Role | Location |
|---|---|---|
| Byrne Martin | CHIEF OPERATING OFFICER | George Town, Grand Cayman, E9 |
| Lawrence Andrew Carter | CHIEF COMPLIANCE OFFICER | — |
| Jonathan Andrew Snyder | CHIEF FINANCIAL AND OPERATING OFFICER; PRESIDENT & CEO | — |
| James Douglass Vannah | CHIEF LEGAL OFFICER & SECRETARY | — |
| Daniel P Bowler | CHIEF FINANCIAL OFFICER; HEAD OF FINANCE & ACCOUNTING | — |
| John Allan Ii Cylc | NATIONAL BUSINESS DIRECTOR | — |
| Alyson Nicole Villano | DIRECTOR | — |
| Jonathan Edward Watson | DIRECTOR | — |
| Dustin Neurath | DIRECTOR | — |
| Nicole Schmitz | CHIEF OPERATIONS OFFICER | — |
| Jeffrey Stephen Weiner | PRESIDENT & CEO | — |
| Alyson Villano Neafsey | DIRECTOR | — |
| WATSON RICHARD EDWARD | DIRECTOR | — |
| CLEARY MICHAEL J | ADMINISTRATION COMMITTEE MEMBER; DIRECTOR | — |
| GONZALEZ JOSE RAMON | CHAIRMAN OF THE BOARD; DIRECTOR, PRESIDENT | — |
| MAURTUA MANUEL AUGUSTO | DIRECTOR; DIRECTOR, SENIOR VICE PRESIDENT SALES MANAGER; SALES MANAGER MIAMI BRANCH | — |
| CASTANER IVAN FRANCISCO | ADMINISTRATIVE MANAGER; ADMINISTRATIVE MANAGER AND DIRECTOR; DIRECTOR, VICE PRESIDENT (+1 more) | — |
| GARCIA CARLOS MIGUEL | DIRECTOR, PRESIDENT AND CEO; DIRECTOR, SENIOR VICE PRESIDENT INVESTMENT BANKING; MANAGER (+2 more) | — |
| ROIG LUIS RAMON | ACTING PRESIDENT/CFO AND DIRECTOR; CFO; CFO, DIRECTOR (+3 more) | — |
| SUAREZ ANA ROSA | ASSISTANT SECRETARY, CHIEF COMPLIANCE OFFICER; ASSISTANT SECRETARY, VICE PRESIDENT COMPLIANCE | — |
| WATSON JOHN RAYMOND | DIRECTOR, SENIOR VICE PRESIDENT SALES MANAGER; DIRECTOR, SENIOR VICE PRESIDENT TRADING AND CAPITAL MARKETS; SENIOR VICE PRESIDENT TRADING AND CAPITAL MARKETS | — |
| BATLLE JUAN CARLOS | DIRECTOR; DIRECTOR, DIRECTOR OF INVESTMENT BANKING | — |
| RODRIGUEZCOLOM JAMES ARTHUR | DIRECTOR, MANAGING DIRECTOR AND BRANCH MANAGER; DIRECTOR, PRESIDENT & CEO; DIRECTOR, PRESIDENT, CEO & SALES MANAGER | — |
| BONILLA RAFAEL | SECRETARY OF THE BOARD | — |
| MENDEZ JESUS FRANCISCO | DIRECTOR, COO; DIRECTOR, MANAGING DIRECTOR AND COO; DIRECTOR, MANAGING DIRECTOR, CFO (+1 more) | — |
Showing 10 of 15 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-29 | regulatory | AS A RESULT OF AN INSPECTION OF A 2014 MORTGAGE PORTFOLIO, THE BANK OF SPAIN CITED BANCO SANTANDER, S.A. WITH EXCESSIVE CHARGING OF COMMISSIONS AND FAILURE TO PROVIDE SUFFICIENT INFORMATION TO CONSUMERS TO ALLOW THEM TO MAKE AN INFORMED DECISION ON THE PURCHASE OF SAID PORTFOLIOS. | Final | $8.9M |
| 2018-12-14 | regulatory | IT WAS ALLEGED THAT TWO MUNICIPAL SECURITIES TRANSACTIONS EXECUTED BY THE FIRM MAY HAVE VIOLATED MSRB RULE G-27. | Final | $3K |
| 2018-11-28 | regulatory | FAILURE TO MAINTAIN CERTAIN ANTI-MONEY LAUNDERING CONTROLS RELATED TO CUSTOMER DUE DILIGENCE BETWEEN SEPTEMBER 2015 AND JUNE 2017, IN A MANNER THAT MET THE STANDARDS REQUIRED UNDER CHINESE LAW. | Final | $146K |
| 2018-09-27 | regulatory | FAILURE TO ACT IN CUSTOMERS' BEST INTERESTS AS REQUIRED UNDER SPANISH LAW, IN CONNECTION WITH THE PLACEMENT OF SHARES OF COLLECTIVE INVESTMENT UNDERTAKINGS IN CUSTOMERS' MANAGED AND ADVISED PORTFOLIOS. | Final | $5.2M |
| 2018-07-25 | regulatory | AS A RESULT OF AN INSPECTION OF A 2014 MORTGAGE PORTFOLIO, THE BANK OF SPAIN CITED BANCO SANTANDER, S.A. WITH EXCESSIVE CHARGING OF COMMISSIONS AND FAILURE TO PROVIDE SUFFICIENT INFORMATION TO CONSUMERS TO ALLOW THEM TO MAKE AN INFORMED DECISION ON THE PURCHASE OF SAID PORTFOLIOS. BANCO SANTANDER, S… | On Appeal | $5.0M |
| 2018-06-11 | regulatory | THE ALLEGATIONS RELATED TO THIS REGULATORY ACTION ARE THAT FROM JANUARY 1, 2014 TO SEPTEMBER 30, 2016, THE FIRM PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH CLIENTS WERE ELIGIBLE… | Final | — |
| 2018-05-25 | regulatory | THE STATE OF NEW HAMPSHIRE ALLEGED THAT, ALTHOUGH AN AGENT OF THE FIRM WAS REGISTERED AS A BROKER-DEALER AGENT WITHIN NEW HAMPSHIRE, THE AGENT WAS NOT REGISTERED AS AN INVESTMENT ADVISOR REPRESENTATIVE IN NEW HAMPSHIRE. | Final | $50K |
| 2018-05-05 | regulatory | FAILURE TO MAINTAIN CERTAIN ANTI-MONEY LAUNDERING CONTROLS (RELATING TO, AMONG OTHER THINGS, CUSTOMER DUE DILIGENCE AND THE FILING OF SUSPICIOUS ACTIVITY REPORTS DURING THE PERIOD OF TIME BETWEEN 2012 AND 2015) MEETING THE STANDARDS REQUIRED UNDER SPANISH LAW. | On Appeal | $12.3M |
| 2017-06-15 | criminal | — | Final | — |
| 2017-06-07 | regulatory | UNSUITABILITY IN CONNECTION WITH TRANSACTIONS INVOLVING PURCHASES AND MARGIN LOANS BY SENIOR LOW NET WORTH INVESTORS IN PUERTO RICO CLOSED END FUNDS AND PUERTO RICO BONDS. | Final | $1.0M |