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SANTANDER SECURITIES

BOSTON, MA · CRD 41791 · IAPD ↗ · santanderbank.com · 866-736-6475

$3.14BRegulatory AUM
108Advisory reps
449Employees
0Clients
More than 500Planning clients
0Private funds
53States
24Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
April 2026 — SANTANDER SECURITIES now reports custody of client assets ($7.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
75
April 2026 — SANTANDER SECURITIES grew from 103 to 108 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2025 — SANTANDER SECURITIES's Item 11 disclosure-reporting entries rose by 3 (23 -> 26).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — SANTANDER SECURITIES shrank from 122 to 103 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
65
April 2024 — SANTANDER SECURITIES began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.