RA
Raymond Adams
SANTANDER SECURITIES LLC
Brooklyn, NY 11230
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CRD#: 2064650
RA
Professional summary
Raymond Adams, who also goes by Raymond Adams, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Brooklyn, New York.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Raymond has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raymond Adams
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. Primary residence rental property, owner, rental property income from apartment rental, non-investment related, start date 01/01/2017, Brooklyn NY, 0 hours monthly. none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Adams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymond Adams'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
February 10, 2014 - Present
SANTANDER SECURITIES LLC
Office #1: 1302 Avenue J, Brooklyn, NY 11230Office #2: 23 Newkirk Plaza, Brooklyn, NY 11226Office #3: 893 Flatbush Ave, Brooklyn, NY 11226Office #4: 190 East 98th Street, Brooklyn, NY 11212RIA
BD
CRD#: 41791
Brooklyn, NY
Current
September 19, 2012 - Present
SANTANDER SECURITIES LLC
Office #1: 1302 Avenue J, Brooklyn, NY 11230Office #2: 23 Newkirk Plaza, Brooklyn, NY 11226Office #3: 893 Flatbush Ave, Brooklyn, NY 11226Office #4: 190 East 98th Street, Brooklyn, NY 11212RIA
BD
CRD#: 41791
Brooklyn, NY
Past
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
BROOKLYN, NY
Past
September 15, 2006 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
BROOKLYN, NY
Past
August 29, 2002 - September 12, 2006
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
BROOKLYN, NY
Past
August 2, 2002 - August 27, 2002
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
January 8, 1999 - July 29, 2002
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
June 26, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
June 26, 1990 - November 4, 1998
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Delaware(4/18/2025)
RR
Florida(5/13/2016)
RR
Georgia(2/21/2018)
RR
New Jersey(9/19/2012)
RR
New York(9/19/2012)
IAR
New York(3/19/2021)
RR
North Carolina(10/27/2014)
RR
Pennsylvania(9/8/2016)
RR
Puerto Rico(9/30/2021)
RR
Washington(9/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
