Rahul Rana
Professional Summary
Rahul Rana is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Everett, Massachusetts. Rahul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Rahul has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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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
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.
The advisor shows no other business activity.
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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
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Rahul Rana's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rahul Rana's CRS (Customer Relationship Summary).
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