CL
Carl A. Libert
SANTANDER SECURITIES LLC
Boonton, NJ 07005
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CRD#: 4350163
CL
Professional summary
Carl Anthony Frank Libert is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Boonton, New Jersey.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Carl has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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. Rental property, owner, rental property income, start date 06/14/2018, non-investment related, 41 Ruffed Grouse Ct., Lake Harmony, PA, 0 hours monthly with none during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Carl Anthony Frank Libert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carl Anthony Frank Libert'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
November 26, 2013 - Present
SANTANDER SECURITIES LLC
Office #1: 405 Main Street, Boonton, NJ 07005Office #2: 110 River Styx Road, Hopatcong, NJ 07843Office #3: 110 East Main Street, Rockaway, NJ 07866Office #4: 73 Diamond Spring Road, Denville, NJ 07834RIA
BD
CRD#: 41791
Boonton, NJ
Current
September 19, 2012 - Present
SANTANDER SECURITIES LLC
Office #1: 405 Main Street, Boonton, NJ 07005Office #2: 110 River Styx Road, Hopatcong, NJ 07843Office #3: 110 East Main Street, Rockaway, NJ 07866Office #4: 73 Diamond Spring Road, Denville, NJ 07834RIA
BD
CRD#: 41791
Boonton, NJ
Past
October 28, 2009 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
EAST HANOVER, NJ
Past
January 1, 2005 - August 15, 2006
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
PORT WASHINGTON, NY
Past
June 16, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
October 3, 2002 - May 7, 2003
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
April 5, 2001 - May 22, 2002
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, 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
Arizona(2/2/2017)
RR
California(5/13/2022)
RR
Delaware(10/6/2016)
RR
Florida(9/19/2012)
RR
New Jersey(9/19/2012)
IAR
New Jersey(11/26/2013)
RR
New York(9/19/2012)
RR
North Carolina(7/13/2020)
RR
Ohio(8/26/2015)
RR
Pennsylvania(9/19/2012)
RR
South Carolina(11/3/2017)
RR
Virginia(7/13/2020)
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.
