DR
Diane C. Ruiz
SANTANDER SECURITIES LLC
Washingtonville, NY
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CRD#: 2969808
DR
Professional summary
Diane C Ruiz, who also goes by Diane C Ruiz, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Washingtonville, New York.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Diane has worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diane C Ruiz
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. Owner of rental property, landlord, non-investment related, start date 11/01/2021, New Windsor, NY, 1 hour monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Diane C Ruiz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diane C Ruiz'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
June 10, 2022 - Present
SANTANDER SECURITIES LLC
Office #2: 200 Park Avenue, Suite 100, Florham Park, NJ 07932Office #3: 200 Park Avenue Suite 100, Florham Park, NJ 07932RIA
BD
CRD#: 41791
Washingtonville, NY
Current
June 10, 2022 - Present
SANTANDER SECURITIES LLC
Office #1: 200 Park Avenue, Suite 100, Florham Park, NJ 07932Office #2: 200 Park Avenue Suite 100, Florham Park, NJ 07932RIA
BD
CRD#: 41791
Florham Park, NJ
Past
September 22, 2021 - June 7, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
PORT SAINT LUCIE, FL
Past
September 21, 2021 - June 7, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
PORT SAINT LUCIE, FL
Past
December 7, 2020 - September 23, 2021
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
WHITE PLAINS, NY
Past
October 10, 2020 - September 23, 2021
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WHITE PLAINS, NY
Past
September 24, 2008 - June 5, 2020
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
September 24, 2008 - June 5, 2020
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
May 5, 2004 - August 27, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
August 11, 2003 - August 27, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
October 14, 2002 - August 12, 2003
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
November 6, 2001 - May 16, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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(7/11/2022)
RR
Alaska(6/10/2022)
RR
Arizona(6/10/2022)
RR
Arkansas(6/10/2022)
RR
California(6/10/2022)
RR
Colorado(6/10/2022)
RR
Connecticut(6/10/2022)
RR
Delaware(6/10/2022)
RR
District of Columbia(6/10/2022)
RR
Florida(6/10/2022)
RR
Georgia(6/10/2022)
RR
Hawaii(6/10/2022)
RR
Idaho(6/10/2022)
RR
Illinois(6/10/2022)
RR
Indiana(6/10/2022)
RR
Iowa(6/10/2022)
RR
Kansas(6/10/2022)
RR
Kentucky(6/10/2022)
RR
Louisiana(6/10/2022)
RR
Maine(6/10/2022)
RR
Maryland(6/10/2022)
RR
Massachusetts(6/10/2022)
RR
Michigan(6/10/2022)
RR
Minnesota(6/10/2022)
RR
Mississippi(6/10/2022)
RR
Missouri(6/10/2022)
RR
Montana(6/10/2022)
RR
Nebraska(6/10/2022)
RR
New Hampshire(6/10/2022)
RR
New Jersey(6/10/2022)
IAR
New Jersey(6/13/2022)
RR
New Mexico(6/10/2022)
RR
New York(6/10/2022)
IAR
New York(6/10/2022)
RR
North Carolina(6/10/2022)
RR
North Dakota(6/10/2022)
RR
Ohio(6/10/2022)
RR
Oklahoma(6/10/2022)
RR
Oregon(6/10/2022)
RR
Pennsylvania(6/10/2022)
RR
Puerto Rico(6/10/2022)
RR
Rhode Island(6/10/2022)
RR
South Carolina(6/10/2022)
RR
South Dakota(6/10/2022)
RR
Tennessee(6/10/2022)
RR
Texas(6/10/2022)
RR
Utah(6/10/2022)
RR
Vermont(6/10/2022)
RR
Virginia(6/10/2022)
RR
Washington(6/10/2022)
RR
West Virginia(6/10/2022)
RR
Wisconsin(6/10/2022)
RR
Wyoming(6/10/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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
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.
