JW
Justin Walsh
SANTANDER SECURITIES
Providence, RI 02903
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CRD#: 2573989
JW
Justin WalshSANTANDER SECURITIES
Professional summary
Justin Walsh, who also goes by Justin W Walsh, Justin William Walsh, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Providence, Rhode Island.
Justin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Justin has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Aliases
Justin W Walsh | Justin William Walsh
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. Plan RI, board member of a non-profit organization, non-investment related, start date 01/01/2022, Warwick RI, 1 hour monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Justin Walsh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Justin Walsh'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
November 27, 2019 - Present
SANTANDER SECURITIES LLC
Office #1: 100 Westminster Street Suite 1004, Providence, RI 02903RIA
BD
CRD#: 41791
Providence, RI
Current
November 19, 2019 - Present
SANTANDER SECURITIES LLC
Office #1: 75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109RIA
BD
CRD#: 41791
Boston, MA
Past
August 25, 2015 - April 26, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
PROVIDENCE, RI
Past
August 25, 2015 - April 26, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
PROVIDENCE, RI
Past
May 9, 2013 - April 8, 2015
TD PRIVATE CLIENT WEALTH LLC
RIA
CRD#: 164484
HARTFORD, CT
Past
May 9, 2013 - April 8, 2015
TD PRIVATE CLIENT WEALTH LLC
BD
CRD#: 164484
HARTFORD, CT
Past
July 16, 2010 - April 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW HAVEN, CT
Past
July 16, 2010 - April 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW HAVEN, CT
Past
May 22, 2009 - December 23, 2009
ESSEX FINANCIAL SERVICES, INC.
RIA
CRD#: 127549
ESSEX, CT
Past
May 22, 2009 - December 23, 2009
ESSEX FINANCIAL SERVICES, INC.
BD
CRD#: 127549
ESSEX, CT
Past
June 16, 2006 - March 25, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
NEW HAVEN, CT
Past
June 16, 2006 - March 25, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
NEW HAVEN, CT
Past
February 10, 2004 - June 20, 2006
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
OLD LYME, CT
Past
February 10, 2004 - June 20, 2006
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
OLD LYME, CT
Past
June 8, 1998 - January 30, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MYSTIC, CT
Past
April 29, 1998 - January 30, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 20, 1995 - April 28, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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 | SANTANDER PRIVATE BANKING | SANTANDER PRIVATE BANK
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
Alabama(11/20/2019)
RR
Alaska(11/20/2019)
RR
Arizona(11/20/2019)
RR
Arkansas(11/20/2019)
RR
California(11/20/2019)
RR
Colorado(11/20/2019)
RR
Connecticut(11/20/2019)
RR
Delaware(11/20/2019)
RR
District of Columbia(11/20/2019)
RR
Florida(11/20/2019)
RR
Georgia(11/20/2019)
RR
Hawaii(11/20/2019)
RR
Idaho(11/20/2019)
RR
Illinois(11/20/2019)
RR
Indiana(11/20/2019)
RR
Iowa(11/20/2019)
RR
Kansas(11/20/2019)
RR
Kentucky(11/20/2019)
RR
Louisiana(11/20/2019)
RR
Maine(11/20/2019)
RR
Maryland(11/20/2019)
RR
Massachusetts(11/19/2019)
IAR
Massachusetts(11/27/2019)
RR
Michigan(11/20/2019)
RR
Minnesota(11/20/2019)
RR
Mississippi(11/20/2019)
RR
Missouri(11/20/2019)
RR
Montana(11/20/2019)
RR
Nebraska(11/20/2019)
RR
New Hampshire(11/20/2019)
RR
New Jersey(11/20/2019)
RR
New Mexico(11/20/2019)
RR
New York(11/20/2019)
RR
North Carolina(11/20/2019)
RR
North Dakota(11/20/2019)
RR
Ohio(11/20/2019)
RR
Oklahoma(11/20/2019)
RR
Oregon(11/20/2019)
RR
Pennsylvania(11/20/2019)
RR
Puerto Rico(11/20/2019)
RR
Rhode Island(11/20/2019)
IAR
Rhode Island(1/13/2022)
RR
South Carolina(11/20/2019)
RR
South Dakota(11/20/2019)
RR
Texas(11/20/2019)
RR
Utah(11/20/2019)
RR
Vermont(11/20/2019)
RR
Virgin Islands(11/20/2019)
RR
Virginia(11/20/2019)
RR
Washington(11/20/2019)
RR
West Virginia(11/20/2019)
RR
Wisconsin(11/20/2019)
RR
Wyoming(11/20/2019)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 10
Passed: 10/6/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Passed: 10/6/1999
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory 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 | SANTANDER PRIVATE BANKING | SANTANDER PRIVATE BANK
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
449
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 | |
| AGUILA, ALFREDO LUIS | DIRECTOR | 4341342 |
| BERMUDEZ VALDES, LUIS JAVIER | DIRECTOR | 6352955 |
| BOWLER, DANIEL P | HEAD OF FINANCE & ACCOUNTING | 5354805 |
| BROGAN, GREGORY | HEAD OF INVESTMENT OPERATIONS | 6694296 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| DE DIEGO, VICTOR | DIRECTOR | 8274098 |
| FRANCO-ESPINOSA, ELOINA MARIA | DIRECTOR | 8276729 |
| GREGORATTI, NICCOLO | PRESIDENT & CEO | 7820683 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| PREBLE, MATTHEW T | HEAD OF RETAIL INVESTMENT | 6694411 |
| SIMON, BART IVAN | DIRECTOR | 8325693 |
Regulatory assets under management
| Total Number of Accounts | 11,152 |
| AUM (Assets Under Management) | $ 3,140,983,898 |
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.
