Nermine Aziz

Some features on this profile are disabled

CRD#: 5467639

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nermine Aziz was a registered financial professional .

Nermine is a previously registered financial professional and started their career in finance in 2008. Nermine had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 14, 2019 - September 17, 2024

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

Freehold, NJ

Past

March 13, 2019 - September 17, 2024

SANTANDER SECURITIES LLC

CRD#: 41791

Freehold, NJ

Past

May 14, 2018 - March 7, 2019

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

JERSEY CITY, NJ

Past

May 10, 2018 - March 7, 2019

HSBC SECURITIES (USA) INC.

CRD#: 19585

JERSEY CITY, NJ

Past

June 7, 2016 - April 26, 2018

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

PARAMUS, NJ

Past

September 28, 2015 - April 26, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

PARAMUS, NJ

Past

October 1, 2012 - December 31, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

STATEN ISLAND, NY

Past

March 1, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

STATEN ISLAND, NY

Past

January 25, 2008 - April 27, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BROOKLYN, 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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/12/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/24/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/13/2016

Investment Company Products/Variable Contracts Principal Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SSLLC FMAX ADVISORY PROGRAM WRAP FEE BROCHURE 11.2025 (11/5/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nermine Aziz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SANTANDER SECURITIES LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

SANTANDER SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2016

Series 63

Date: 2/12/2008

SIE

Date: 10/1/2018

Series 6

Date: 1/24/2008

Series 26

Date: 1/13/2016

Current Firm

SANTANDER SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SANTANDER SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors