John N. Russo
Professional summary
John Natale Russo, who also goes by John N Russo, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in West Caldwell, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Natale Russo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Natale Russo's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2013 - Present
SANTANDER SECURITIES LLC
Office #1: 1120 Bloomfield Avenue, West Caldwell, NJ 07006Office #2: 532 Pompton Avenue, Cedar Grove, NJ 07009Office #3: 36 Waterview Boulevard #d2, Parsippany, NJ 07054July 16, 2013 - Present
SANTANDER SECURITIES LLC
Office #1: 1120 Bloomfield Avenue, West Caldwell, NJ 07006Office #2: 532 Pompton Avenue, Cedar Grove, NJ 07009Office #3: 36 Waterview Boulevard #d2, Parsippany, NJ 07054March 3, 2009 - May 9, 2013
PNC WEALTH MANAGEMENT LLC
February 20, 2009 - May 9, 2013
PNC WEALTH MANAGEMENT LLC
May 9, 2007 - December 2, 2008
HSBC SECURITIES (USA) INC.
May 9, 2007 - December 2, 2008
HSBC SECURITIES (USA) INC.
June 1, 2006 - May 3, 2007
CETERA INVESTMENT SERVICES LLC
May 3, 2006 - May 3, 2007
BANCNORTH INVESTMENT GROUP, INC.
September 12, 2005 - May 4, 2006
ESSEX NATIONAL SECURITIES, LLC
September 12, 2005 - May 4, 2006
ESSEX NATIONAL SECURITIES, LLC
October 20, 2004 - September 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - September 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 28, 2002 - October 20, 2004
QUICK & REILLY, INC.
August 7, 2000 - October 20, 2004
QUICK & REILLY, INC.
June 30, 2000 - August 7, 2000
FLEET ENTERPRISES, INC.
April 25, 1996 - June 23, 2000
FLEET ENTERPRISES, INC.
May 20, 1993 - May 21, 1996
METROPOLITAN LIFE INSURANCE COMPANY
May 20, 1993 - May 21, 1996
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/18/2018)
(6/13/2018)
(8/16/2013)
(8/16/2013)
(9/6/2013)
(5/29/2018)
(12/22/2018)
(6/8/2020)
(12/8/2017)
Exams
FINRA
Current Firm
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
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 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SMITH, MATTHEW PETER | NATIONAL BUSINESS DIRECTOR | 3209342 |
| 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.
