AL
Alvin R. Lopez
SANTANDER SECURITIES LLC
Miami, FL 33131
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CRD#: 1963375
AL
Professional summary
Alvin R Lopez is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Miami, Florida.
Alvin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Alvin has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Rental Property, co-owner of rental property not held in an entity, non-investment related, start date 11/01/2024, Davenport FL, 1 hour monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Alvin R Lopez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alvin R Lopez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 18, 2024 - Present
SANTANDER SECURITIES LLC
Office #1: 830 Brickell Plaza Suite 2100, Miami, FL 33131RIA
BD
CRD#: 41791
Miami, FL
Current
September 17, 2024 - Present
SANTANDER SECURITIES LLC
Office #1: 830 Brickell Plaza Suite 2100, Miami, FL 33131RIA
BD
CRD#: 41791
Miami, FL
Past
March 31, 2017 - February 12, 2024
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
Miami, FL
Past
March 9, 2011 - February 12, 2024
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
MIAMI, FL
Past
June 8, 2010 - February 12, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MIAMI, FL
Past
August 14, 2009 - May 17, 2010
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MIAMI, FL
Past
May 29, 2007 - July 30, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MIAMI, FL
Past
December 14, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
MIAMI, FL
Past
April 30, 2001 - August 25, 2004
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
March 7, 1996 - August 22, 1996
ROAN CAPITAL PARTNERS L.P.
BD
CRD#: 33063
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SANTANDER SECURITIES LLC
SANTANDER INVESTMENT SERVICES | SANTANDER SECURITIES LLC | SANTANDER SECURITIES CORPORATION OF PUERTO RICO | SANTANDER SECURITIES CORPORATION | SANTANDER SECURITIES
CRD#: 41791 / SEC#: 801-56796, 8-49571
RIA
Registered Investment Advisory firm - SEC (9/2/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(9/17/2024)
IAR
Florida(9/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SANTANDER SECURITIES LLC
SANTANDER INVESTMENT SERVICES | SANTANDER SECURITIES LLC | SANTANDER SECURITIES CORPORATION OF PUERTO RICO | SANTANDER SECURITIES CORPORATION | SANTANDER SECURITIES
CRD#: 41791 / SEC#: 801-56796, 8-49571
RIA
Registered Investment Advisory firm - SEC (9/2/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109
Mailing Address
75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109
Phone number
(866) 736-6475
Established
Delaware since 01/03/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
440
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SANTANDER SECURITIES LLC
CRD#: 41791Miami, FL 33131TRUST BUT VERIFY
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