AS
Amul G. Sant
SANTANDER SECURITIES LLC
Manalapan, NJ 07726
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CRD#: 4594929
AS
Professional summary
Amul G Sant, who also goes by Amul Sant, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Manalapan, New Jersey.
Amul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Amul has worked at 6 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amul Sant
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, co-owner, non-investment related, start date 04/20/2012, Morganville, NJ 07751, less than 1 hour monthly, none during trading hours. 2. Rental Property, co-owner, non-investment related, start date 12/26/2019, Manalapan, NJ 07726, less than 1 hour monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Amul G Sant's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amul G Sant'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 19, 2012 - Present
SANTANDER SECURITIES LLC
Office #1: 345 Union Hill Road, Manalapan, NJ 07726RIA
BD
CRD#: 41791
Manalapan, NJ
Current
September 19, 2012 - Present
SANTANDER SECURITIES LLC
Office #1: 345 Union Hill Road, Manalapan, NJ 07726RIA
BD
CRD#: 41791
Manalapan, NJ
Past
May 25, 2012 - September 19, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
OLD BRIDGE, NJ
Past
May 25, 2012 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
OLD BRIDGE, NJ
Past
October 23, 2009 - July 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PRINCETON, NJ
Past
October 23, 2009 - July 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PRINCETON, NJ
Past
October 17, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
FREEHOLD, NJ
Past
October 17, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
FREEHOLD, NJ
Past
September 23, 2004 - October 1, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HOLMDEL, NJ
Past
September 23, 2004 - October 1, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HOLMDEL, NJ
Past
June 2, 2003 - May 19, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
December 19, 2002 - May 19, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
New Jersey(9/19/2012)
IAR
New Jersey(9/19/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
