MD
Michael G. Dooley
SANTANDER SECURITIES LLC
Swampscott, MA 01907
Some features on this profile are disabled
CRD#: 5278096
MD
Professional summary
Michael G Dooley is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Swampscott, Massachusetts.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael G Dooley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael G Dooley'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
July 15, 2013 - Present
SANTANDER SECURITIES LLC
Office #1: 495 Paradise Road, Swampscott, MA 01907Office #2: 323 Broadway, Route 1, Saugus, MA 01906Office #3: 102 Rogers Street, Gloucester, MA 01930Office #4: 587 Cabot Street, Beverly, MA 01915Office #5: 17 Union Street, Manchester, MA 01944RIA
BD
CRD#: 41791
Swampscott, MA
Current
July 11, 2013 - Present
SANTANDER SECURITIES LLC
Office #1: 495 Paradise Road, Swampscott, MA 01907Office #2: 323 Broadway, Route 1, Saugus, MA 01906Office #3: 102 Rogers Street, Gloucester, MA 01930Office #4: 587 Cabot Street, Beverly, MA 01915Office #5: 17 Union Street, Manchester, MA 01944RIA
BD
CRD#: 41791
Swampscott, MA
Past
June 1, 2012 - March 13, 2013
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
BURLINGTON, MA
Past
June 1, 2012 - March 13, 2013
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
BURLINGTON, MA
Past
March 16, 2011 - June 29, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
BURLINGTON, MA
Past
March 16, 2011 - June 29, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
BURLINGTON, MA
Past
September 8, 2009 - May 18, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
BEVERLY, MA
Past
February 27, 2009 - May 18, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
BEVERLY, MA
Past
April 12, 2007 - February 27, 2009
OSAIC FS, INC.
BD
CRD#: 3870
BEVERLY, 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
California(9/17/2019)
RR
Colorado(3/8/2024)
RR
Connecticut(10/16/2014)
RR
Florida(11/25/2014)
RR
Louisiana(1/6/2015)
RR
Maine(11/8/2021)
RR
Maryland(10/22/2015)
RR
Massachusetts(7/11/2013)
IAR
Massachusetts(7/15/2013)
RR
New Hampshire(7/17/2013)
RR
New Jersey(8/16/2021)
RR
New York(11/17/2014)
RR
North Carolina(6/14/2018)
RR
Rhode Island(7/9/2025)
RR
South Carolina(10/29/2020)
RR
Tennessee(2/23/2022)
RR
Texas(10/22/2020)
RR
Virginia(8/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 41791Swampscott, MA 01907TRUST BUT VERIFY
Monitor Michael Dooley
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
