JC
John M. Clark
SANTANDER SECURITIES LLC
Littleton, MA
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CRD#: 4399001
JC
Professional summary
John Michael Clark is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Littleton, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. John has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 6, Series 53, Series 24, Series 51 and Series 26 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. Boy Scouts of America: Littleton Pack 2, Treasurer, non-investment related, start date 09/17/2020, Littleton, MA, 5 hours monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Clark's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Michael Clark'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 2, 2015 - Present
SANTANDER SECURITIES LLC
Office #2: 75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109RIA
BD
CRD#: 41791
Littleton, MA
Current
September 30, 2015 - Present
SANTANDER SECURITIES LLC
Office #1: 75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109RIA
BD
CRD#: 41791
Boston, MA
Past
April 10, 2006 - September 28, 2015
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
WALTHAM, MA
Past
April 10, 2006 - September 28, 2015
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
October 19, 2005 - December 2, 2005
CHARTER ONE SECURITIES, INC.
BD
CRD#: 13373
CLEVELAND, OH
Past
August 19, 2005 - January 13, 2006
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
QUINCY, MA
Past
February 28, 2002 - January 13, 2006
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
August 13, 2001 - February 22, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
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
Connecticut(9/30/2015)
RR
Florida(9/30/2015)
RR
Maryland(9/30/2015)
RR
Massachusetts(9/30/2015)
IAR
Massachusetts(11/2/2015)
RR
New Hampshire(9/30/2015)
RR
New Jersey(9/30/2015)
RR
New York(9/30/2015)
RR
Pennsylvania(9/30/2015)
RR
Puerto Rico(9/30/2015)
RR
Rhode Island(9/30/2015)
Exams
State Security Law Exam
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
General 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.
