Pasquale M. Farinella

SANTANDER SECURITIES LLC

Boston, MA 02109

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CRD#: 2382436

Professional summary

Pasquale Michael Farinella, who also goes by Pasquale Michael Farinella Jr, Pat Farinella, is a registered financial professional currently at SANTANDER SECURITIES LLC located in Boston, Massachusetts.

Pasquale is registered as a RR (Registered Representative) and started their career in finance in 1993. Pasquale has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Pasquale Michael Farinella Jr | Pat Farinella

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Pasquale Michael Farinella's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 10, 2016 - Present

SANTANDER SECURITIES LLC

Office #1: 75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109

RIA

CRD#: 41791

Boston, MA

Past

October 19, 2005 - December 2, 2005

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

September 12, 2005 - February 22, 2016

CITIZENS SECURITIES, INC.

CRD#: 39550

DEDHAM, MA

Past

July 29, 2005 - September 13, 2005

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

June 7, 2004 - August 1, 2005

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

January 1, 2002 - May 28, 2003

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

December 18, 1998 - January 1, 2002

MANUFACTURERS SECURITIES SERVICES, LLC

CRD#: 16009

BOSTON, MA

Past

September 11, 1996 - November 16, 1998

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

March 27, 1996 - August 28, 1996

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 27, 1996 - August 28, 1996

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 27, 1993 - October 26, 1995

MANUFACTURERS SECURITIES SERVICES, LLC

CRD#: 16009

BOSTON, MA

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".

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)

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.

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

Massachusetts
(3/10/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/12/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/8/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 2/22/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/5/2004

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SSLLC FMAX ADVISORY PROGRAM WRAP FEE BROCHURE 11.2025 (11/5/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Pasquale M. Farinella

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Pasquale Michael Farinella's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARTER ONE SECURITIES, INC.

CITIZENS SECURITIES, INC.

CHARTER ONE SECURITIES, INC.

CITIZENS SECURITIES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

MANUFACTURERS SECURITIES SERVICES, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MANUFACTURERS SECURITIES SERVICES, LLC

Primary Firm SEC Registration

SANTANDER SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/12/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/17/2006

Series 6

Date: 10/12/1993

Series 24

Date: 12/8/2008

Series 51

Date: 2/22/2006

Series 26

Date: 10/5/2004

FINRA

Current Firm

SANTANDER SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SANTANDER SECURITIES LLC

TRUST BUT VERIFY

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