ST
Seth Tobias
SANTANDER SECURITIES LLC
Union, NJ 07083
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CRD#: 6352794
ST
Professional summary
Seth Tobias, who also goes by Seth J Tobias, Seth Tobias, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Union, New Jersey.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Seth has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Seth J Tobias | Seth Tobias
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, personally-held rental property (duplex), non-investment related, start date 04/15/2019, West Warwick, RI, 4 hours monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Seth Tobias's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Seth Tobias'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
May 23, 2018 - Present
SANTANDER SECURITIES LLC
Office #1: 1462 Stuyvesant Avenue, Union, NJ 07083Office #2: 324 Chestnut Street, Union, NJ 07083Office #3: 463 Washington Avenue, Belleville, NJ 07109Office #4: 35 South Main Street, Lodi, NJ 07644Office #5: 19 Schuyler Avenue, North Arlington, NJ 07031Office #6: 314 Elizabeth Avenue, Elizabeth, NJ 07206Office #7: 1000 South Elmora Avenue, Elizabeth, NJ 07202Office #8: 1 Union Square, Elizabeth, NJ 07201Office #9: 243 Millburn Avenue, Millburn, NJ 07041RIA
BD
CRD#: 41791
Union, NJ
Current
May 23, 2018 - Present
SANTANDER SECURITIES LLC
Office #1: 1462 Stuyvesant Avenue, Union, NJ 07083Office #2: 324 Chestnut Street, Union, NJ 07083Office #3: 463 Washington Avenue, Belleville, NJ 07109Office #4: 35 South Main Street, Lodi, NJ 07644Office #5: 19 Schuyler Avenue, North Arlington, NJ 07031Office #6: 314 Elizabeth Avenue, Elizabeth, NJ 07206Office #7: 1000 South Elmora Avenue, Elizabeth, NJ 07202Office #8: 1 Union Square, Elizabeth, NJ 07201Office #9: 243 Millburn Avenue, Millburn, NJ 07041RIA
BD
CRD#: 41791
Union, NJ
Past
March 5, 2018 - May 15, 2018
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
NARRAGANSETT, RI
Past
April 15, 2015 - May 15, 2018
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
NARRAGANSETT, RI
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(12/11/2018)
RR
Colorado(3/5/2019)
RR
Connecticut(5/25/2018)
RR
Florida(5/25/2018)
RR
Georgia(12/11/2018)
RR
Hawaii(5/13/2022)
RR
Illinois(12/11/2018)
RR
Kentucky(12/11/2018)
RR
Maine(12/11/2018)
RR
Maryland(9/2/2020)
RR
Massachusetts(5/25/2018)
RR
Michigan(12/11/2018)
RR
New Hampshire(5/25/2018)
RR
New Jersey(12/11/2018)
IAR
New Jersey(1/6/2023)
RR
New York(12/11/2018)
RR
North Carolina(12/11/2018)
RR
Ohio(12/11/2018)
RR
Pennsylvania(12/11/2018)
RR
Rhode Island(5/23/2018)
RR
South Carolina(12/11/2018)
RR
Texas(12/11/2018)
RR
Vermont(12/11/2018)
RR
Virginia(12/11/2018)
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.
