CH
Carl J. Hassett
SANTANDER SECURITIES LLC
Boston, MA
Some features on this profile are disabled
CRD#: 5103191
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Professional summary
Carl Joseph Hassett, who also goes by Carl Joseph Hassett, Carl J Hassett, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Boston, Massachusetts.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Carl has worked at 5 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carl Joseph Hassett | Carl J Hassett
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 Carl Joseph Hassett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carl Joseph Hassett'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
February 22, 2024 - Present
SANTANDER SECURITIES LLC
Office #2: 75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109RIA
BD
CRD#: 41791
Boston, MA
Current
September 22, 2023 - Present
SANTANDER SECURITIES LLC
Office #1: 75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109RIA
BD
CRD#: 41791
Boston, MA
Past
September 3, 2019 - June 20, 2023
SANTANDER SECURITIES LLC
BD
CRD#: 41791
Pocasset, MA
Past
August 27, 2008 - July 27, 2012
EATON VANCE MANAGEMENT
RIA
CRD#: 104859
BOSTON, MA
Past
August 19, 2008 - July 27, 2012
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
Past
January 10, 2008 - August 18, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
ANDOVER, MA
Past
May 9, 2007 - August 18, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
ANDOVER, 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
Alabama(9/22/2023)
RR
Alaska(9/22/2023)
RR
Arizona(9/22/2023)
RR
Arkansas(9/22/2023)
RR
California(9/22/2023)
RR
Colorado(9/22/2023)
RR
Connecticut(9/22/2023)
RR
Delaware(9/22/2023)
RR
District of Columbia(9/22/2023)
RR
Florida(9/22/2023)
RR
Georgia(9/22/2023)
RR
Hawaii(9/22/2023)
RR
Idaho(9/22/2023)
RR
Illinois(9/22/2023)
RR
Indiana(9/22/2023)
RR
Iowa(9/22/2023)
RR
Kansas(9/22/2023)
RR
Kentucky(9/22/2023)
RR
Louisiana(9/22/2023)
RR
Maine(9/22/2023)
RR
Maryland(9/22/2023)
RR
Massachusetts(9/22/2023)
IAR
Massachusetts(2/22/2024)
RR
Michigan(9/22/2023)
RR
Minnesota(9/22/2023)
RR
Mississippi(9/22/2023)
RR
Missouri(9/22/2023)
RR
Montana(9/22/2023)
RR
Nebraska(9/22/2023)
RR
New Hampshire(9/22/2023)
RR
New Jersey(9/22/2023)
RR
New Mexico(9/22/2023)
RR
New York(9/22/2023)
RR
North Carolina(9/22/2023)
RR
North Dakota(9/22/2023)
RR
Ohio(9/24/2023)
RR
Oklahoma(9/22/2023)
RR
Oregon(9/22/2023)
RR
Pennsylvania(9/22/2023)
RR
Rhode Island(9/22/2023)
RR
South Carolina(9/22/2023)
RR
South Dakota(9/22/2023)
RR
Tennessee(9/22/2023)
RR
Texas(9/22/2023)
RR
Utah(9/22/2023)
RR
Vermont(9/22/2023)
RR
Virginia(9/22/2023)
RR
Washington(9/22/2023)
RR
West Virginia(9/22/2023)
RR
Wisconsin(9/22/2023)
RR
Wyoming(9/22/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 9/3/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
