Anthony Nelson Acosta
Professional Summary
Anthony Nelson Acosta, who also goes by Anthony Acosta, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Belleville, New Jersey. Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Anthony has worked at 1 firm and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Anthony Acosta
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
SANTANDER INVESTMENT SERVICES | SANTANDER SECURITIES LLC | SANTANDER SECURITIES CORPORATION OF PUERTO RICO | SANTANDER SECURITIES CORPORATION | SANTANDER SECURITIES | SANTANDER PRIVATE BANKING | SANTANDER PRIVATE BANK
Contact Information
Main Address
75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109Mailing Address
75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109Phone Number
(866) 736-6475Established
Delaware since 01/03/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
449SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | — |
| AGUILA, ALFREDO LUIS | DIRECTOR | 4341342 |
| BERMUDEZ VALDES, LUIS JAVIER | DIRECTOR | 6352955 |
| BOWLER, DANIEL P | HEAD OF FINANCE & ACCOUNTING | 5354805 |
| BROGAN, GREGORY | HEAD OF INVESTMENT OPERATIONS | 6694296 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| DE DIEGO, VICTOR | DIRECTOR | 8274098 |
| FRANCO-ESPINOSA, ELOINA MARIA | DIRECTOR | 8276729 |
| GREGORATTI, NICCOLO | PRESIDENT & CEO | 7820683 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| PREBLE, MATTHEW T | HEAD OF RETAIL INVESTMENT | 6694411 |
| SIMON, BART IVAN | DIRECTOR | 8325693 |
Regulatory Assets Under Management
Total Number of Accounts
11,152AUM (Assets Under Management)
$3,140,983,898Disclosures
Regulatory Event
12Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SANTANDER INVESTMENT SERVICES | SANTANDER SECURITIES LLC | SANTANDER SECURITIES CORPORATION OF PUERTO RICO | SANTANDER SECURITIES CORPORATION | SANTANDER SECURITIES | SANTANDER PRIVATE BANKING | SANTANDER PRIVATE BANK
State Registrations and Notice Filings
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(11/15/2017)
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2017About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Anthony Nelson Acosta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Nelson Acosta's CRS (Customer Relationship Summary).
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