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Investment Adviser Firm Summary
SANTANDER SECURITIES ( CRD # 41791/SEC#:801-56796,8-49571 )
SANTANDER INVESTMENT SERVICES, SANTANDER SECURITIES LLC, SANTANDER SECURITIES CORPORATION OF PUERTO RICO, SANTANDER SECURITIES CORPORATION, SANTANDER SECURITIES
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved9/2/1999
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama3/19/2014
Alaska8/3/2012
Arizona8/3/2012
Arkansas8/3/2012
California8/3/2012
Colorado8/3/2012
Connecticut8/3/2012
Delaware8/3/2012
District of Columbia8/3/2012
Florida8/6/2012
Georgia8/3/2012
Hawaii8/3/2012
Idaho8/3/2012
Illinois10/17/2012
Indiana8/3/2012
Iowa8/3/2012
Kansas8/3/2012
Kentucky8/3/2012
Louisiana8/3/2012
Maine8/3/2012
Maryland8/3/2012
Massachusetts8/3/2012
Michigan8/3/2012
Minnesota8/3/2012
Mississippi8/3/2012
Missouri3/19/2014
Montana8/3/2012
Nebraska8/3/2012
Nevada8/3/2012
New Hampshire8/3/2012
New Jersey8/24/2012
New Mexico8/3/2012
New York8/3/2012
North Carolina8/3/2012
North Dakota3/19/2014
Ohio8/3/2012
Oklahoma8/3/2012
Oregon8/3/2012
Pennsylvania8/3/2012
Puerto Rico9/24/1999
Rhode Island8/3/2012
South Carolina8/3/2012
South Dakota8/3/2012
Tennessee8/3/2012
Texas8/3/2012
Utah8/3/2012
Vermont8/3/2012
Virgin Islands8/3/2012
Virginia8/3/2012
Washington8/3/2012
West Virginia3/19/2014
Wisconsin8/3/2012
Wyoming3/2/2022
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.