JB
Joseph J. Braut
SANTANDER SECURITIES LLC
Marcus Hook, PA 19061
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CRD#: 2595709
JB
Professional summary
Joseph John Braut, CFP®, ChFC®, CLU®, who also goes by Joseph J Braut, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Marcus Hook, Pennsylvania.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph J Braut
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. John Hancock LTC Trails; long-term insurance trails from existing policies only, investment related, start date 02/01/2000, Boston MA, 0 hour monthly, none during trading hours. 2. Genworth LTC Trails; long-term insurance trails from existing policies only, investment related, start date 11/01/2000, Glen Allen VA, 0 hour monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph John Braut's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph John Braut'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®
CFP®
Start date: 2001
Experience
Current
February 25, 2025 - Present
SANTANDER SECURITIES LLC
Office #1: 2 East 10th Street, Marcus Hook, PA 19061Office #2: 130 North Eagle Road, Havertown, PA 19083Office #3: 742 East Philadelphia Avenue, Boyertown, PA 19512Office #4: 44 East Lancaster Avenue, Ardmore, PA 19003Office #5: 44 North Bryn Mawr Avenue, Bryn Mawr, PA 19010Office #6: 1224 Welsh Road, North Wales, PA 19454Office #7: 5300 Baltimore Pike, Clifton Heights, PA 19018Office #8: 116 West Township Line Road, Havertown, PA 19083Office #9: 1917 Macdade Boulevard, Folsom, PA 19033Office #10: 1616 Walnut Street, Philadelphia, PA 19103Office #11: 1101 Market Street, Philadelphia, PA 19107Office #12: 2000 Market Street, Philadelphia, PA 19103Office #13: 3802 Chestnut Street, Philadelphia, PA 19104Office #14: 125 South Providence Road, Media, PA 19063Office #15: 800 Town Centre Drive, Glen Mills, PA 19342Office #16: 110 West Lincoln Highway, Exton, PA 19341Office #17: 612 Fayette Street, Conshohocken, PA 19428Office #18: 140 Allendale Road, King Of Prussia, PA 19406Office #19: 3001 West Chester Pike, Broomall, PA 19008Office #20: 824 North Market Street, Wilmington, DE 19801Office #21: 1001 Gap-newport Pike, Avondale, PA 19311Office #22: 625 Ridge Pike, Conshohocken, PA 19428Office #23: 8080 Old York Road, Elkins Park, PA 19027Office #24: Cheltenham Avenue And Easton Road, Wyncote, PA 19095Office #25: 1415 Old York Road, Abington, PA 19001Office #26: 101 East Olney Avenue, Philadelphia, PA 19120Office #27: 9808 Bustleton Avenue, Philadelphia, PA 19115Office #28: 2701 South 10th Street, Philadelphia, PA 19148Office #29: 115 Chester Avenue, Yeadon, PA 19050Office #30: 1894 Bethlehem Pike, Flourtown, PA 19031Office #31: 1565 East High Street, Pottstown, PA 19464RIA
BD
CRD#: 41791
Marcus Hook, PA
Current
February 25, 2025 - Present
SANTANDER SECURITIES LLC
Office #1: 2 East 10th Street, Marcus Hook, PA 19061Office #2: 130 North Eagle Road, Havertown, PA 19083Office #3: 742 East Philadelphia Avenue, Boyertown, PA 19512Office #4: 44 East Lancaster Avenue, Ardmore, PA 19003Office #5: 44 North Bryn Mawr Avenue, Bryn Mawr, PA 19010Office #6: 1224 Welsh Road, North Wales, PA 19454Office #7: 5300 Baltimore Pike, Clifton Heights, PA 19018Office #8: 116 West Township Line Road, Havertown, PA 19083Office #9: 1917 Macdade Boulevard, Folsom, PA 19033Office #10: 1616 Walnut Street, Philadelphia, PA 19103Office #11: 1101 Market Street, Philadelphia, PA 19107Office #12: 2000 Market Street, Philadelphia, PA 19103Office #13: 3802 Chestnut Street, Philadelphia, PA 19104Office #14: 125 South Providence Road, Media, PA 19063Office #15: 800 Town Centre Drive, Glen Mills, PA 19342Office #16: 110 West Lincoln Highway, Exton, PA 19341Office #17: 612 Fayette Street, Conshohocken, PA 19428Office #18: 140 Allendale Road, King Of Prussia, PA 19406Office #19: 3001 West Chester Pike, Broomall, PA 19008Office #20: 824 North Market Street, Wilmington, DE 19801Office #21: 1001 Gap-newport Pike, Avondale, PA 19311Office #22: 625 Ridge Pike, Conshohocken, PA 19428Office #23: 8080 Old York Road, Elkins Park, PA 19027Office #24: Cheltenham Avenue And Easton Road, Wyncote, PA 19095Office #25: 1415 Old York Road, Abington, PA 19001Office #26: 101 East Olney Avenue, Philadelphia, PA 19120Office #27: 9808 Bustleton Avenue, Philadelphia, PA 19115Office #28: 2701 South 10th Street, Philadelphia, PA 19148Office #29: 115 Chester Avenue, Yeadon, PA 19050Office #30: 1894 Bethlehem Pike, Flourtown, PA 19031Office #31: 1565 East High Street, Pottstown, PA 19464RIA
BD
CRD#: 41791
Marcus Hook, PA
Past
November 14, 2024 - March 6, 2025
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
WARRINGTON, PA
Past
November 14, 2024 - March 6, 2025
LPL ENTERPRISE, LLC
BD
CRD#: 8733
WARRINGTON, PA
Past
August 17, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Warrington, PA
Past
August 17, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Warrington, PA
Past
August 30, 2018 - August 9, 2021
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
PHILADELPHIA, PA
Past
August 30, 2018 - August 9, 2021
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PHILADELPHIA, PA
Past
November 5, 2010 - August 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HORSHAM, PA
Past
November 5, 2010 - August 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HORSHAM, PA
Past
March 2, 2010 - October 21, 2010
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
NEW BRITAIN, PA
Past
March 2, 2010 - October 21, 2010
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
NEW BRITAIN, PA
Past
January 12, 2009 - March 2, 2010
CINCINNATI ANALYSTS, INC.
RIA
CRD#: 5478
DOYLESTOWN, PA
Past
January 12, 2009 - March 2, 2010
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
DOYLESTOWN, PA
Past
May 12, 2008 - September 30, 2008
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
PHILADELPHIA, PA
Past
April 21, 2008 - September 30, 2008
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
PHILADELPHIA, PA
Past
June 4, 2007 - September 14, 2007
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
LANSDALE, PA
Past
May 31, 2007 - April 18, 2008
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LANSDALE, PA
Past
May 7, 1996 - June 1, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PLYMOUTH MEETING, PA
Past
May 7, 1996 - June 1, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PLYMOUTH MEETING, PA
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
Alabama(7/7/2025)
RR
Alaska(7/7/2025)
RR
Arizona(7/7/2025)
RR
Arkansas(7/7/2025)
RR
California(4/9/2025)
RR
Colorado(7/7/2025)
RR
Connecticut(7/7/2025)
RR
Delaware(3/5/2025)
IAR
Delaware(3/5/2025)
RR
District of Columbia(7/7/2025)
RR
Florida(4/9/2025)
RR
Georgia(7/7/2025)
RR
Hawaii(7/7/2025)
RR
Idaho(7/7/2025)
RR
Illinois(7/7/2025)
RR
Indiana(4/9/2025)
RR
Iowa(4/9/2025)
RR
Kansas(7/7/2025)
RR
Kentucky(7/7/2025)
RR
Louisiana(7/7/2025)
RR
Maine(7/7/2025)
RR
Maryland(4/9/2025)
RR
Massachusetts(4/9/2025)
RR
Michigan(7/7/2025)
RR
Minnesota(4/9/2025)
RR
Mississippi(7/7/2025)
RR
Missouri(7/7/2025)
RR
Montana(7/7/2025)
RR
Nebraska(4/9/2025)
RR
Nevada(7/7/2025)
RR
New Hampshire(7/7/2025)
RR
New Jersey(3/5/2025)
RR
New Mexico(7/7/2025)
RR
New York(4/9/2025)
RR
North Carolina(4/9/2025)
RR
North Dakota(4/9/2025)
RR
Ohio(4/10/2025)
RR
Oklahoma(7/7/2025)
RR
Oregon(7/7/2025)
RR
Pennsylvania(2/25/2025)
IAR
Pennsylvania(2/25/2025)
RR
Rhode Island(7/7/2025)
RR
South Carolina(4/9/2025)
RR
South Dakota(7/7/2025)
RR
Tennessee(7/7/2025)
RR
Texas(7/7/2025)
RR
Utah(7/7/2025)
RR
Vermont(4/9/2025)
RR
Virginia(7/7/2025)
RR
Washington(4/9/2025)
RR
West Virginia(7/7/2025)
RR
Wisconsin(7/7/2025)
RR
Wyoming(7/7/2025)
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.
