SJ
Scott M. Johnson
SANTANDER SECURITIES LLC
Milford, MA 01757
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CRD#: 2947839
SJ
Professional summary
Scott Michael Johnson, who also goes by Scott M Johnson, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Milford, Massachusetts.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott M Johnson
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.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Michael Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Michael Johnson'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
January 10, 2014 - Present
SANTANDER SECURITIES LLC
Office #1: 126 Prospect Street, Milford, MA 01757Office #2: 317 Washington Street, Auburn, MA 01501Office #3: 50 Boston Turnpike Route 9, Shrewsbury, MA 01545Office #4: 47 Maple Avenue, Shrewsbury, MA 01545Office #5: 164 Reservoir Street, Holden, MA 01520RIA
BD
CRD#: 41791
Milford, MA
Current
September 19, 2012 - Present
SANTANDER SECURITIES LLC
Office #1: 126 Prospect Street, Milford, MA 01757Office #2: 317 Washington Street, Auburn, MA 01501Office #3: 50 Boston Turnpike Route 9, Shrewsbury, MA 01545Office #4: 47 Maple Avenue, Shrewsbury, MA 01545Office #5: 164 Reservoir Street, Holden, MA 01520RIA
BD
CRD#: 41791
Milford, MA
Past
July 7, 2010 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTBORO, MA
Past
June 1, 2009 - July 22, 2010
MORGAN STANLEY
BD
CRD#: 149777
BOSTON, MA
Past
December 17, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BOSTON, MA
Past
October 20, 2004 - December 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BOSTON, MA
Past
October 20, 2004 - December 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
July 25, 2003 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
BOSTON, MA
Past
December 6, 2002 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
October 13, 1998 - December 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 6, 1998 - October 15, 1998
MOORS & CABOT, INC.
BD
CRD#: 594
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".
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
Arizona(7/12/2013)
RR
Connecticut(1/28/2013)
RR
Florida(9/19/2012)
RR
Maine(11/9/2018)
RR
Massachusetts(9/19/2012)
IAR
Massachusetts(1/24/2014)
RR
New Hampshire(10/6/2025)
RR
Rhode Island(9/19/2012)
RR
Texas(9/16/2014)
Exams
State Security Law Exam
State Security Law 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.
Company Information
SANTANDER SECURITIES LLC
CRD#: 41791Milford, MA 01757TRUST BUT VERIFY
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