HS
Hari Sharma
SANTANDER SECURITIES LLC
Hamilton, NJ 08690
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CRD#: 4526462
HS
Professional summary
Hari Sharma, who also goes by Hari Ram Sharma, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Hamilton, New Jersey.
Hari is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Hari has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hari Ram Sharma
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.
CRS (Client Relationship Summary) - RIA
Click below to view Hari Sharma's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hari Sharma'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
January 4, 2017 - Present
SANTANDER SECURITIES LLC
Office #1: 1700 Kuser Road, Hamilton, NJ 08690Office #2: 2730 Nottingham Way, Mercerville, NJ 08619Office #3: 2465 South Broad Street, Hamilton, NJ 08610Office #4: 302 Haddon Avenue, Westmont, NJ 08108Office #5: 555 High Street, Unit #2, Mt. Holly, NJ 08060Office #6: Broad Street And Garfield Avenue, Palmyra, NJ 08065Office #7: 1970 Route 70 East, Cherry Hill, NJ 08003RIA
BD
CRD#: 41791
Hamilton, NJ
Current
December 27, 2016 - Present
SANTANDER SECURITIES LLC
Office #1: 1700 Kuser Road, Hamilton, NJ 08690Office #2: 2730 Nottingham Way, Mercerville, NJ 08619Office #3: 2465 South Broad Street, Hamilton, NJ 08610Office #4: 302 Haddon Avenue, Westmont, NJ 08108Office #5: 555 High Street, Unit #2, Mt. Holly, NJ 08060Office #6: Broad Street And Garfield Avenue, Palmyra, NJ 08065Office #7: 1970 Route 70 East, Cherry Hill, NJ 08003RIA
BD
CRD#: 41791
Hamilton, NJ
Past
June 18, 2014 - December 20, 2016
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
PHILADELPHIA, PA
Past
June 17, 2014 - December 20, 2016
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PHILADELPHIA, PA
Past
September 19, 2012 - June 17, 2014
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
TRENTON, NJ
Past
September 19, 2012 - June 17, 2014
SANTANDER SECURITIES LLC
BD
CRD#: 41791
TRENTON, NJ
Past
July 8, 2011 - September 19, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
MANALAPAN, NJ
Past
July 8, 2011 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
MANALAPAN, NJ
Past
April 7, 2011 - July 7, 2011
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
NEW BRUNSWICK, NJ
Past
April 7, 2011 - July 7, 2011
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
NEW BRUNSWICK, NJ
Past
April 23, 2010 - April 19, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
EWING, NJ
Past
April 23, 2010 - April 19, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
EWING, NJ
Past
December 6, 2006 - April 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BRIDGEWATER, NJ
Past
December 6, 2006 - April 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BRIDGEWATER, NJ
Past
March 17, 2004 - November 30, 2006
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
RARITAN, NJ
Past
March 17, 2004 - November 30, 2006
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
RARITAN, NJ
Past
September 9, 2002 - March 17, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
BRIDGEWATER, NJ
Past
July 15, 2002 - March 17, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, 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
Florida(4/30/2018)
RR
New Jersey(12/27/2016)
IAR
New Jersey(1/4/2017)
RR
New York(12/27/2016)
RR
Pennsylvania(1/27/2017)
RR
Tennessee(4/18/2025)
Exams
State Security Law 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.
Company Information
SANTANDER SECURITIES LLC
CRD#: 41791Hamilton, NJ 08690TRUST BUT VERIFY
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