NM
Neal J. Mckenna
SANTANDER SECURITIES LLC
South Hamilton, MA
Some features on this profile are disabled
CRD#: 4596248
NM
Professional summary
Neal Joseph Mckenna, who also goes by Neal Mckenna, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in South Hamilton, Massachusetts.
Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Neal has worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Neal Mckenna
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 Neal Joseph Mckenna's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Neal Joseph Mckenna'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
December 12, 2016 - Present
SANTANDER SECURITIES LLC
Office #2: 75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109RIA
BD
CRD#: 41791
South Hamilton, MA
Current
December 9, 2016 - Present
SANTANDER SECURITIES LLC
Office #1: 75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109RIA
BD
CRD#: 41791
Boston, MA
Past
May 12, 2015 - October 4, 2016
TD AMERITRADE, INC.
RIA
CRD#: 7870
Peabody, MA
Past
May 12, 2015 - October 4, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
PEABODY, MA
Past
March 5, 2015 - October 4, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
Peabody, MA
Past
December 15, 2009 - May 24, 2010
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
PEABODY, MA
Past
October 23, 2009 - October 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MARBLEHEAD, MA
Past
July 16, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BURLINGTON, MA
Past
July 11, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BURLINGTON, MA
Past
October 24, 2005 - July 12, 2007
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
HAVERHILL, MA
Past
January 1, 2005 - July 12, 2007
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
HAVERHILL, MA
Past
October 5, 2004 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
December 6, 2002 - August 27, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alabama(6/26/2018)
RR
Alaska(6/26/2018)
RR
Arizona(6/26/2018)
RR
Arkansas(6/26/2018)
RR
California(6/26/2018)
RR
Colorado(6/26/2018)
RR
Connecticut(12/9/2016)
RR
Delaware(6/26/2018)
RR
District of Columbia(6/26/2018)
RR
Florida(12/9/2016)
RR
Georgia(6/26/2018)
RR
Hawaii(6/26/2018)
RR
Idaho(6/26/2018)
RR
Illinois(6/26/2018)
RR
Indiana(6/26/2018)
RR
Iowa(6/26/2018)
RR
Kansas(6/26/2018)
RR
Kentucky(6/26/2018)
RR
Louisiana(6/26/2018)
RR
Maine(6/26/2018)
RR
Maryland(6/26/2018)
RR
Massachusetts(12/9/2016)
IAR
Massachusetts(12/12/2016)
RR
Michigan(6/26/2018)
RR
Minnesota(6/26/2018)
RR
Mississippi(6/26/2018)
RR
Missouri(6/26/2018)
RR
Montana(6/26/2018)
RR
Nebraska(6/26/2018)
RR
Nevada(6/26/2018)
RR
New Hampshire(12/9/2016)
RR
New Jersey(6/26/2018)
RR
New Mexico(6/26/2018)
RR
New York(6/26/2018)
RR
North Carolina(6/26/2018)
RR
North Dakota(6/26/2018)
RR
Ohio(6/26/2018)
RR
Oklahoma(6/26/2018)
RR
Oregon(6/26/2018)
RR
Pennsylvania(6/26/2018)
RR
Puerto Rico(6/26/2018)
RR
Rhode Island(12/9/2016)
RR
South Carolina(6/26/2018)
RR
South Dakota(6/26/2018)
RR
Tennessee(6/26/2018)
RR
Texas(6/26/2018)
RR
Utah(6/26/2018)
RR
Vermont(6/26/2018)
RR
Virgin Islands(6/26/2018)
RR
Virginia(6/26/2018)
RR
Washington(6/26/2018)
RR
West Virginia(6/26/2018)
RR
Wisconsin(6/26/2018)
RR
Wyoming(6/26/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/21/2022
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SMITH, MATTHEW PETER | NATIONAL BUSINESS DIRECTOR | 3209342 |
| 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.
