AS
Alejandro E. Santana
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CRD#: 5814724
AS
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.
Alejandro Eladio Santana, who also goes by Alejandro E Santana, Alejandro Santana, Alex E Santana, Alex Eladio Santana, Alex Santana, was a registered financial professional .
Alejandro is a previously registered financial professional and started their career in finance in 2011. Alejandro had worked at 5 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alejandro E Santana | Alejandro Santana | Alex E Santana | Alex Eladio Santana | Alex Santana
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) NAME: INTUIT INC. INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: TAX PREP POSITION: TAX PREP ASSISTANT START DATE: 09/23/2022 NO. HR/MO: 20 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: HELP CUSTOMERS NAVIGATE TAX SOFTWARE ONLINE. TROUBLESHOOT SOFTWARE ISSUES CUSTOMERS ARE HAVING. I WILL NOT BE ANSWERING TAX SPECIFIC QUESTIONS BY CUSTOMERS (2) NAME: FINRA INV REL: N ADD: RESIDENTIAL ADDRESS NATURE: ARBITRATOR POSITION: NON-PUBLIC ARBITRATOR START DATE: 03/31/2023 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 4 DESCRIBE DUTIES: ARBITRATOR IS RESPONSIBLE FOR UNDERSTANDING AND APPLYING THE RULES IN THE CODE OF ARBITRATION PROCEDURES. ARBITRATORS ARE IN CHARGE WITH MAKING SURE PARTIES COMPLY WITH THEIR ORDERS. (3)NAME: EQUINOX GYM INV REL:N ADDR:160 COLUMBUS AVE NY NY 10023, NATURE: LIFEGUARDING POSITION: LIFEGUARD START: 10/01/2024, NO HR/MO: 8 NO HR/MO DUR TRADING:4 DUTIES:OBSERVING SWIMMERS AND MAKING SURE SWIMMERS ARE SAFE. CHECKING POOL pH AND WATER LEVELS.
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®
NoneExperience
Past
November 30, 2021 - September 16, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
New York, NY
Past
November 15, 2018 - September 16, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
New York, NY
Past
November 8, 2016 - July 8, 2018
TRUE TEMPER FINANCIAL SERVICES, LLC
RIA
CRD#: 283591
NEW YORK, NY
Past
February 11, 2015 - October 28, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
June 26, 2013 - August 29, 2013
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
June 1, 2011 - April 11, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PASADENA, CA
Past
May 19, 2011 - April 11, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PASADENA, CA
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".
MML INVESTORS SERVICES, LLC
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
CRD#: 10409 / SEC#: 801-44264, 8-27250
RIA
Registered Investment Advisory firm - SEC (7/13/1993 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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/15/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
MML INVESTORS SERVICES, LLC
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
CRD#: 10409 / SEC#: 801-44264, 8-27250
RIA
Registered Investment Advisory firm - SEC (7/13/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
1295 State Street, Springfield, MA 01111-0001
Mailing Address
1295 State Street, Springfield, MA 01111-0001
Phone number
(413) 737-8400
Established
Massachusetts since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
7,056
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
