AB
Andrew J. Bernal
SANTANDER SECURITIES LLC
Manalapan, NJ 07726
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CRD#: 5973353
AB
Professional summary
Andrew Joseph Bernal, who also goes by Andrew Bernal, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Manalapan, New Jersey.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Andrew has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Bernal
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. Rental property, sole owner of rental property, non-investment related, start date 10/01/2020, Long Branch NJ, zero hours monthly, none during trading hours. 2. Rental property, sole owner of rental property, non-investment related, start date 10/01/2023, Long Branch NJ, 5 hours monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Joseph Bernal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Joseph Bernal'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
August 29, 2014 - Present
SANTANDER SECURITIES LLC
Office #1: 345 Union Hill Road, Manalapan, NJ 07726Office #2: 303 Gordons Corner Road, Manalapan, NJ 07726Office #3: 8 South Main Street, Marlboro, NJ 07746Office #4: 226 Cranbury Half Acre Road, Monroe Township, NJ 08831Office #5: 201 Harmony Road, Middletown, NJ 07748Office #6: 587 Main Street, Woodbridge, NJ 07095Office #7: 901 West Park Avenue, Ocean, NJ 07712Office #8: 2285 West County Line Road, Jackson, NJ 08527RIA
BD
CRD#: 41791
Manalapan, NJ
Current
May 13, 2014 - Present
SANTANDER SECURITIES LLC
Office #1: 345 Union Hill Road, Manalapan, NJ 07726Office #2: 303 Gordons Corner Road, Manalapan, NJ 07726Office #3: 8 South Main Street, Marlboro, NJ 07746Office #4: 226 Cranbury Half Acre Road, Monroe Township, NJ 08831Office #5: 201 Harmony Road, Middletown, NJ 07748Office #6: 587 Main Street, Woodbridge, NJ 07095Office #7: 901 West Park Avenue, Ocean, NJ 07712Office #8: 2285 West County Line Road, Jackson, NJ 08527RIA
BD
CRD#: 41791
Manalapan, NJ
Past
October 10, 2011 - May 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RUMSON, NJ
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
Arizona(4/18/2025)
RR
California(5/26/2016)
RR
Colorado(7/13/2015)
RR
Connecticut(5/4/2017)
RR
Delaware(1/26/2016)
RR
Florida(5/13/2014)
RR
Georgia(6/24/2016)
RR
Massachusetts(9/5/2014)
RR
Minnesota(10/19/2017)
RR
Missouri(4/13/2018)
RR
Nevada(9/19/2025)
RR
New Jersey(5/13/2014)
IAR
New Jersey(8/29/2014)
RR
New York(5/13/2014)
RR
Pennsylvania(9/5/2014)
RR
South Carolina(7/8/2014)
RR
Tennessee(1/7/2025)
RR
Texas(6/10/2019)
RR
Virginia(9/5/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
