NS
Nico R. Sethi
SANTANDER SECURITIES LLC
Warminster, PA 18974
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CRD#: 5985008
NS
Professional summary
Nico Rawinder Singh Sethi, who also goes by Rawinder Singh, Nico Singh, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Warminster, Pennsylvania.
Nico is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Nico has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rawinder Singh | Nico Singh
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. 14602 E 2nd Ave, LLC, Owner and member in multiple rental properties, non-investment related, 5007 South Malaya Court, Aurora, CO, 80015, start date 10/23/2013, 3 hours per month, none during trading hours. 2. Reserve at Northhampton Community Association, Treasurer and Executive Board Member, non-investment related, Ivyland, PA, start date 12/10/2024, four hours per month, two during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Nico Rawinder Singh Sethi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nico Rawinder Singh Sethi'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
February 27, 2015 - Present
SANTANDER SECURITIES LLC
Office #1: 952 West Street Road, Warminster, PA 18974Office #2: 797 Broad Street, Doylestown, PA 18901Office #3: 4952 Parkside Avenue, Philadelphia, PA 19131Office #4: 123 West Lancaster Avenue, Wayne, PA 19087Office #5: 102 North Flowers Mill Road, Langhorne, PA 19047Office #6: 2401 East Venango Street, Philadelphia, PA 19134Office #7: 1425 Street Road, Bensalem, PA 19020Office #8: 400 West Allegheny Avenue Suite E3, Philadelphia, PA 19133Office #9: 160 East Street Road, Feasterville-trevose, PA 19053Office #10: 2077 Ridge Avenue Suite #2103, Philadelphia, PA 19121RIA
BD
CRD#: 41791
Warminster, PA
Current
February 26, 2015 - Present
SANTANDER SECURITIES LLC
Office #1: 952 West Street Road, Warminster, PA 18974Office #2: 797 Broad Street, Doylestown, PA 18901Office #3: 4952 Parkside Avenue, Philadelphia, PA 19131Office #4: 123 West Lancaster Avenue, Wayne, PA 19087Office #5: 102 North Flowers Mill Road, Langhorne, PA 19047Office #6: 2401 East Venango Street, Philadelphia, PA 19134Office #7: 1425 Street Road, Bensalem, PA 19020Office #8: 400 West Allegheny Avenue Suite E3, Philadelphia, PA 19133Office #9: 160 East Street Road, Feasterville-trevose, PA 19053Office #10: 2077 Ridge Avenue Suite #2103, Philadelphia, PA 19121RIA
BD
CRD#: 41791
Warminster, PA
Past
January 3, 2012 - November 20, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
YARDLEY, PA
Past
November 23, 2011 - November 20, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
YARDLEY, PA
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
California(8/10/2015)
RR
Colorado(2/18/2021)
RR
Delaware(7/11/2019)
RR
Florida(3/28/2023)
RR
Georgia(8/11/2023)
RR
Maryland(5/19/2022)
RR
Massachusetts(2/12/2018)
RR
New Jersey(6/24/2015)
RR
New York(6/30/2015)
RR
Ohio(5/1/2025)
RR
Pennsylvania(2/27/2015)
IAR
Pennsylvania(2/27/2015)
RR
South Carolina(3/11/2022)
RR
Texas(12/24/2024)
RR
Virginia(5/7/2019)
RR
Washington(2/4/2021)
RR
Wisconsin(11/20/2023)
Exams
State Security Law 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.
