FH
Fernando A. Herrera
SANTANDER SECURITIES LLC
Miami, FL 33131
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CRD#: 5595896
FH
Professional summary
Fernando Alberto Herrera, who also goes by Fernando A Herrera, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Miami, Florida.
Fernando is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Fernando has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fernando A Herrera
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. FIBA (formerly known as Florida International Bankers Association), member of the education and training committee, non-investment related, start date 04/01/2009, Miami FL, 1 hour monthly, none during trading hours. 2. Rental Property, co-owner of rental property, non-investment related, start date 10/31/2008, Coral Gables FL, 1 hour per monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Fernando Alberto Herrera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fernando Alberto Herrera'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
January 25, 2024 - Present
SANTANDER SECURITIES LLC
Office #1: 830 Brickell Plaza Suite 2100, Miami, FL 33131RIA
BD
CRD#: 41791
Miami, FL
Current
January 24, 2024 - Present
SANTANDER SECURITIES LLC
Office #1: 830 Brickell Plaza Suite 2100, Miami, FL 33131RIA
BD
CRD#: 41791
Miami, FL
Past
June 15, 2023 - December 15, 2023
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Miami, FL
Past
June 3, 2021 - April 14, 2023
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
MIAMI, FL
Past
July 16, 2019 - April 14, 2023
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MIAMI, FL
Past
November 26, 2009 - August 23, 2010
STANCHART SECURITIES INTERNATIONAL, INC.
BD
CRD#: 145126
MIAMI, FL
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
Florida(1/24/2024)
IAR
Florida(1/25/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/16/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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 |
| 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#: 41791Miami, FL 33131TRUST BUT VERIFY
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