ST

Sofocles Tsimogianis

SANTANDER SECURITIES

Milford, MA

·CRD# 6752123·9 years experience

Professional Summary

Sofocles Tsimogianis is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Milford, Massachusetts. Sofocles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Sofocles has worked at 1 firm and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6TO and Series 6 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

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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.

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.

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Years of Experience

9 years in the financial services industry

Current & Past Employments

SANTANDER SECURITIES LLC·CRD# 41791

RIA

BD

1. 126 Prospect Street, Milford, MA 017572. 317 Washington Street, Auburn, MA 015013. 50 Boston Turnpike Route 9, Shrewsbury, MA 015454. 47 Maple Avenue, Shrewsbury, MA 015455. 526 Boston Post Road, Suite A, Sudbury, MA 017766. 51 Gold Star Boulevard, Worcester, MA 016057. 409 Massachusetts Avenue, Acton, MA 017208. 70 East Main Street, Westboro, MA 015819. 12 Front Street, Ashland, MA 0172110. 240 West Boylston Street, West Boylston, MA 0158311. 1234 Providence Road, Whitinsville, MA 0158812. 206 Main Street, Webster, MA 0157013. 507 Main Street, Worcester, MA 0160814. 13 Northeastern Boulevard, Nashua, NH 0306215. 223 Main Street, Nashua, NH 03060

September 2, 2025 - Present

SANTANDER SECURITIES LLC·CRD# 41791

RIA

BD

1. 126 Prospect Street, Milford, MA 017572. 317 Washington Street, Auburn, MA 015013. 50 Boston Turnpike Route 9, Shrewsbury, MA 015454. 47 Maple Avenue, Shrewsbury, MA 015455. 526 Boston Post Road, Suite A, Sudbury, MA 017766. 51 Gold Star Boulevard, Worcester, MA 016057. 409 Massachusetts Avenue, Acton, MA 017208. 70 East Main Street, Westboro, MA 015819. 12 Front Street, Ashland, MA 0172110. 240 West Boylston Street, West Boylston, MA 0158311. 1234 Providence Road, Whitinsville, MA 0158812. 206 Main Street, Webster, MA 0157013. 507 Main Street, Worcester, MA 0160814. 13 Northeastern Boulevard, Nashua, NH 0306215. 223 Main Street, Nashua, NH 03060

January 19, 2024 - Present

SANTANDER SECURITIES LLC·CRD# 41791

BD

Worcester, MA

February 21, 2017 - January 13, 2020

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Current Firm

SS

SANTANDER SECURITIES LLC

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)

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

449

SEC 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

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

SSLLC FMAX ADVISORY PROGRAM WRAP FEE BROCHURE 4.2026 FINAL (4/17/2026)

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

11,152

AUM (Assets Under Management)

$3,140,983,898

Disclosures

Regulatory Event

12

Arbitration

7

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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.

Aris Group, LLC, Partner, Property rental, investment related, 222 Heritage Dr, Whitensville, MA 01588, one hour a month none of which occur during trading hours.

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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

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/24/2025)

RR

Alaska
(11/24/2025)

RR

Arizona
(11/24/2025)

RR

Arkansas
(11/24/2025)

RR

California
(11/24/2025)

RR

Colorado
(11/24/2025)

RR

Connecticut
(11/24/2025)

RR

Delaware
(11/24/2025)

RR

District of Columbia
(11/24/2025)

RR

Florida
(11/24/2025)

RR

Georgia
(11/24/2025)

RR

Hawaii
(11/24/2025)

RR

Idaho
(11/24/2025)

RR

Illinois
(11/24/2025)

RR

Indiana
(11/24/2025)

RR

Iowa
(11/24/2025)

RR

Kansas
(11/24/2025)

RR

Kentucky
(11/24/2025)

RR

Louisiana
(11/24/2025)

RR

Maine
(11/24/2025)

RR

Maryland
(11/24/2025)

RR

Massachusetts
(10/16/2024)

IAR

Massachusetts
(9/2/2025)

RR

Michigan
(11/24/2025)

RR

Minnesota
(11/24/2025)

RR

Mississippi
(11/24/2025)

RR

Missouri
(11/24/2025)

RR

Montana
(11/24/2025)

RR

Nebraska
(11/24/2025)

RR

Nevada
(11/24/2025)

RR

New Hampshire
(11/24/2025)

IAR

New Hampshire
(12/17/2025)

RR

New Jersey
(11/24/2025)

RR

New Mexico
(11/24/2025)

RR

New York
(11/24/2025)

RR

North Carolina
(11/24/2025)

RR

North Dakota
(11/24/2025)

RR

Ohio
(11/24/2025)

RR

Oklahoma
(11/24/2025)

RR

Oregon
(11/24/2025)

RR

Pennsylvania
(11/24/2025)

RR

Rhode Island
(11/24/2025)

RR

South Carolina
(11/24/2025)

RR

South Dakota
(11/24/2025)

RR

Tennessee
(11/24/2025)

RR

Texas
(11/24/2025)

RR

Utah
(11/24/2025)

RR

Vermont
(11/24/2025)

RR

Virginia
(11/24/2025)

RR

Washington
(11/24/2025)

RR

West Virginia
(11/24/2025)

RR

Wisconsin
(11/24/2025)

RR

Wyoming
(11/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.