Randy E. Ball

SANTANDER SECURITIES LLC

Westwood, MA 02090

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CRD#: 3172188

Professional summary

Randy Edward Ball, who also goes by Randy Ball, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Westwood, Massachusetts.

Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Randy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randy Ball

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) - RIA

Click below to view Randy Edward Ball's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Randy Edward Ball'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

November 5, 2015 - Present

SANTANDER SECURITIES LLC

Office #1: 705 High Street, Westwood, MA 02090Office #2: 780 Beacon Street, Newton, MA 02459Office #3: 157 Summer Street, Kingston, MA 02364Office #4: 1337 Beacon Street, Brookline, MA 02446Office #5: 415 Market Street, Brighton, MA 02135Office #6: 1 Harvard Street, Brookline, MA 02445Office #7: 624 Washington Street, Newtonville, MA 02458Office #8: 188 Broadway, Taunton, MA 02780Office #9: 51 Pleasant Street, Weymouth, MA 02190Office #10: 310 New State Highway, Raynham, MA 02767Office #11: 965 Great Plain Avenue, Needham, MA 02492Office #12: 277 Linden Street, Wellesley, MA 02482

RIA

CRD#: 41791

Westwood, MA

Current

September 30, 2015 - Present

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

Westwood, MA

Past

April 20, 2007 - September 23, 2015

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

BARRINGTON, RI

Past

April 17, 2007 - September 23, 2015

CITIZENS SECURITIES, INC.

CRD#: 39550

BARRINGTON, RI

Past

May 6, 2005 - April 11, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PROVIDENCE, RI

Past

May 6, 2005 - April 11, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PROVIDENCE, RI

Past

October 20, 2004 - May 9, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

WARWICK, RI

Past

October 20, 2004 - May 9, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

November 15, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

WARWICK, RI

Past

October 22, 2002 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

August 14, 2001 - October 25, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 2, 2000 - August 14, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 3, 1999 - April 13, 2000

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

May 4, 1999 - August 26, 1999

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(6/19/2018)

Connecticut
(10/1/2015)

Florida
(9/30/2015)

Georgia
(8/16/2018)

Maine
(4/5/2019)

Massachusetts
(11/5/2015)

IAR

Massachusetts
(11/5/2015)

Michigan
(2/1/2017)

New Hampshire
(11/6/2015)

New Jersey
(5/3/2018)

New York
(5/4/2018)

North Carolina
(4/4/2019)

Pennsylvania
(5/4/2018)

Rhode Island
(9/30/2015)

Utah
(5/7/2018)

Virginia
(8/23/2016)

Wisconsin
(5/4/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/29/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/9/1999

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: 1/4/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/3/1999

Investment Company Products/Variable Contracts Representative 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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Randy E. Ball

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Edward Ball's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Randy Edward Ball's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANTANDER SECURITIES LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

SANTANDER SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2001

Series 63

Date: 4/9/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2000

Series 6

Date: 5/3/1999

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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