SA
Steven D. Auger
SANTANDER SECURITIES LLC
Concord, NH 03301
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CRD#: 6810604
SA
Professional summary
Steven Donald Auger, who also goes by Steven D Auger, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Concord, New Hampshire.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Steven has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven D Auger
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.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Donald Auger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Donald Auger'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
July 26, 2019 - Present
SANTANDER SECURITIES LLC
Office #1: 73 West Street, Concord, NH 03301Office #2: 20 Beale Street, Wollaston, MA 02170Office #3: 90 Pleasant Valley Street, Methuen, MA 01844Office #4: 200 Haverhill Street, Methuen, MA 01844Office #5: 125 Main Street, Salem, NH 03079Office #6: 3 Wall Street, Windham, NH 03087Office #7: 150 Bridge Street, Pelham, NH 03076Office #8: 58 Plaistow Road, Pentucket Shopping Center, Plaistow, NH 03865Office #9: 280 Main Street, Wilmington, MA 01887Office #10: 794 Rogers Street, Lowell, MA 01852Office #11: 1111 South Willow Street, Manchester, NH 03103Office #12: 1 Beacon Street, Boston, MA 02108Office #13: 552 Commonwealth Avenue, Boston, MA 02215Office #14: 885 Boylston Street, Boston, MA 02116Office #15: 61 Harrison Avenue, Boston, MA 02111Office #16: 71 Main Street, Andover, MA 01810Office #17: 296 Essex Street, Lawrence, MA 01840Office #18: 460 South Union Street, Lawrence, MA 01843Office #19: 489 Lafayette Road, Route 1, Seabrook, NH 03874Office #20: 20 East Broadway, Derry, NH 03038Office #21: 75 State Street, Boston, MA 02109Office #22: 3060 Washington Street, Boston, MA 02119Office #23: 330 Martin Luther King Boulevard, Suite 45, Roxbury, MA 02119Office #24: 474 West Broadway, South Boston, MA 02127Office #25: 2189 Washington Street, Roxbury, MA 02119Office #26: 125 Causeway Street, Boston, MA 02114RIA
BD
CRD#: 41791
Concord, NH
Current
August 1, 2018 - Present
SANTANDER SECURITIES LLC
Office #1: 73 West Street, Concord, NH 03301Office #2: 20 Beale Street, Wollaston, MA 02170Office #3: 90 Pleasant Valley Street, Methuen, MA 01844Office #4: 200 Haverhill Street, Methuen, MA 01844Office #5: 125 Main Street, Salem, NH 03079Office #6: 3 Wall Street, Windham, NH 03087Office #7: 150 Bridge Street, Pelham, NH 03076Office #8: 58 Plaistow Road, Pentucket Shopping Center, Plaistow, NH 03865Office #9: 280 Main Street, Wilmington, MA 01887Office #10: 794 Rogers Street, Lowell, MA 01852Office #11: 1111 South Willow Street, Manchester, NH 03103Office #12: 1 Beacon Street, Boston, MA 02108Office #13: 552 Commonwealth Avenue, Boston, MA 02215Office #14: 885 Boylston Street, Boston, MA 02116Office #15: 61 Harrison Avenue, Boston, MA 02111Office #16: 71 Main Street, Andover, MA 01810Office #17: 296 Essex Street, Lawrence, MA 01840Office #18: 460 South Union Street, Lawrence, MA 01843Office #19: 489 Lafayette Road, Route 1, Seabrook, NH 03874Office #20: 20 East Broadway, Derry, NH 03038Office #21: 75 State Street, Boston, MA 02109Office #22: 3060 Washington Street, Boston, MA 02119Office #23: 330 Martin Luther King Boulevard, Suite 45, Roxbury, MA 02119Office #24: 474 West Broadway, South Boston, MA 02127Office #25: 2189 Washington Street, Roxbury, MA 02119Office #26: 125 Causeway Street, Boston, MA 02114RIA
BD
CRD#: 41791
Concord, NH
Past
August 1, 2018 - July 23, 2019
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
Swampscott, MA
Past
November 7, 2017 - April 19, 2018
MCADAM LLC
RIA
CRD#: 170914
Boston, MA
Past
August 14, 2017 - April 3, 2018
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Boston, MA
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
Alabama(7/7/2025)
RR
Alaska(7/7/2025)
RR
Arizona(7/7/2025)
RR
Arkansas(7/7/2025)
RR
California(7/7/2025)
RR
Colorado(7/7/2025)
RR
Connecticut(7/7/2025)
RR
Delaware(7/7/2025)
RR
District of Columbia(7/7/2025)
RR
Florida(4/9/2025)
RR
Georgia(7/7/2025)
RR
Hawaii(7/7/2025)
RR
Idaho(7/7/2025)
RR
Illinois(7/7/2025)
RR
Indiana(7/7/2025)
RR
Iowa(7/7/2025)
RR
Kansas(7/7/2025)
RR
Kentucky(7/7/2025)
RR
Louisiana(7/7/2025)
RR
Maine(4/9/2025)
RR
Maryland(7/7/2025)
RR
Massachusetts(3/31/2025)
IAR
Massachusetts(4/10/2025)
RR
Michigan(7/7/2025)
RR
Minnesota(7/7/2025)
RR
Mississippi(7/7/2025)
RR
Missouri(7/7/2025)
RR
Montana(7/7/2025)
RR
Nebraska(7/7/2025)
RR
Nevada(7/7/2025)
RR
New Hampshire(3/7/2022)
IAR
New Hampshire(3/8/2022)
RR
New Jersey(4/9/2025)
RR
New Mexico(7/7/2025)
RR
New York(7/7/2025)
RR
North Carolina(7/7/2025)
RR
North Dakota(7/7/2025)
RR
Ohio(7/8/2025)
RR
Oklahoma(7/7/2025)
RR
Oregon(7/7/2025)
RR
Pennsylvania(7/7/2025)
RR
Rhode Island(4/9/2025)
RR
South Carolina(7/7/2025)
RR
South Dakota(7/7/2025)
RR
Tennessee(7/7/2025)
RR
Texas(7/7/2025)
RR
Utah(7/7/2025)
RR
Vermont(4/9/2025)
RR
Virginia(7/7/2025)
RR
Washington(7/7/2025)
RR
West Virginia(7/7/2025)
RR
Wisconsin(7/7/2025)
RR
Wyoming(7/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/1/2025
General Securities Representative ExaminationGeneral 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 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SMITH, MATTHEW PETER | NATIONAL BUSINESS DIRECTOR | 3209342 |
| 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.
Company Information
SANTANDER SECURITIES LLC
CRD#: 41791Concord, NH 03301TRUST BUT VERIFY
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