Jason A. Tapia
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.
Jason A Tapia, who also goes by Jason Adam Tapia, Jason Tapia, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2015. Jason had worked at 7 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2022 - July 6, 2023
SANTANDER SECURITIES LLC
July 20, 2022 - July 6, 2023
SANTANDER SECURITIES LLC
October 6, 2021 - June 23, 2022
ADP BROKER-DEALER, INC.
August 10, 2018 - September 30, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
August 9, 2018 - September 30, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
May 16, 2017 - July 23, 2018
CAPITAL CLIENT GROUP, INC.
May 12, 2017 - July 23, 2018
CAPITAL CLIENT GROUP, INC.
July 28, 2015 - April 4, 2017
MANULIFE INVESTMENT MANAGEMENT (US) LLC
July 13, 2015 - April 4, 2017
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 20, 2015 - June 15, 2015
FISHER INVESTMENTS
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
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 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SMITH, MATTHEW PETER | NATIONAL BUSINESS DIRECTOR | 3209342 |
| 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.
