JT
Joseph A. Talty
SANTANDER SECURITIES LLC
Garwood, NJ 07027
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CRD#: 3268354
JT
Professional summary
Joseph Anthony Talty is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Garwood, New Jersey.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Cook Realty Group, Junior Real Estate Agent/Broker's Assistant, non-investment related, start date 7/26/2018, 173 #10, Clinton NJ 08809, 10 hours monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Talty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Talty'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
September 11, 2014 - Present
SANTANDER SECURITIES LLC
Office #1: 358 North Avenue, Garwood, NJ 07027Office #2: 2253 North Avenue, Scotch Plains, NJ 07076Office #3: 20 Veterans Memorial Highway, Somerville, NJ 08876RIA
BD
CRD#: 41791
Garwood, NJ
Current
September 10, 2014 - Present
SANTANDER SECURITIES LLC
Office #1: 358 North Avenue, Garwood, NJ 07027Office #2: 2253 North Avenue, Scotch Plains, NJ 07076Office #3: 20 Veterans Memorial Highway, Somerville, NJ 08876RIA
BD
CRD#: 41791
Garwood, NJ
Past
May 23, 2013 - August 27, 2014
TD AMERITRADE, INC.
RIA
CRD#: 7870
NEW YORK, NY
Past
May 20, 2013 - August 27, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
NEW YORK, NY
Past
May 17, 2013 - August 27, 2014
TD AMERITRADE, INC.
BD
CRD#: 7870
NEW YORK, NY
Past
July 8, 2011 - April 23, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
WADING RIVER, NY
Past
July 8, 2011 - April 23, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
WADING RIVER, NY
Past
May 10, 2011 - June 13, 2011
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
MELVILLE, NY
Past
January 3, 2005 - June 13, 2011
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
BROOKLYN, NY
Past
January 2, 2004 - January 3, 2005
GREENPOINT SECURITIES LLC
BD
CRD#: 127042
LAKE SUCCESS, NY
Past
July 19, 2002 - January 2, 2004
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
October 13, 2000 - November 29, 2000
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
March 23, 2000 - October 5, 2000
NORTHRIDGE CAPITAL CORPORATION
BD
CRD#: 16467
MELVILLE, 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
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
Colorado(8/31/2016)
RR
Delaware(10/24/2024)
RR
Florida(2/21/2018)
RR
New Jersey(9/10/2014)
IAR
New Jersey(9/11/2014)
RR
New York(2/13/2015)
RR
North Carolina(1/24/2023)
RR
Pennsylvania(8/27/2015)
RR
South Carolina(4/20/2018)
RR
Texas(4/15/2015)
RR
Virginia(3/24/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 3/22/2000
Corporate Securities Limited Representative ExaminationSRO 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.
