Brian R. Duarte

SANTANDER SECURITIES

Secaucus, NJ 07094

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CRD#: 6865884

Professional summary

Brian R Duarte, who also goes by Brian Duarte, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Secaucus, New Jersey.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Brian has worked at 1 firm and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Duarte

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian R Duarte's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brian R Duarte's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 26, 2026 - Present

SANTANDER SECURITIES LLC

Office #1: 1322a Paterson Plank Road, Secaucus, NJ 07094Office #2: 241 Central Avenue, Jersey City, NJ 07307Office #3: 214 Newark Avenue, Jersey City, NJ 07302Office #4: 300 Broad Avenue, Palisades Park, NJ 07650Office #5: 463 Washington Avenue, Belleville, NJ 07109Office #6: 19 Schuyler Avenue, North Arlington, NJ 07031Office #7: 243 Chestnut Street, Newark, NJ 07105Office #8: 133 Jackson Street, Newark, NJ 07105Office #9: 314 Elizabeth Avenue, Elizabeth, NJ 07206Office #10: 1000 South Elmora Avenue, Elizabeth, NJ 07202Office #11: 466 Bloomfield Avenue, Newark, NJ 07107Office #12: 1 Union Square, Elizabeth, NJ 07201Office #13: 456 North Broad Street, Elizabeth, NJ 07208Office #14: 554 Central Avenue, East Orange, NJ 07018

RIA

CRD#: 41791

Secaucus, NJ

Current

October 27, 2017 - Present

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

Secaucus, NJ

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".

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)

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.

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

Alabama
(4/27/2026)

Alaska
(4/27/2026)

Arizona
(4/27/2026)

Arkansas
(4/27/2026)

California
(4/27/2026)

Colorado
(4/27/2026)

Connecticut
(4/27/2026)

Delaware
(4/27/2026)

District of Columbia
(4/27/2026)

Florida
(4/27/2026)

Georgia
(4/27/2026)

Hawaii
(4/27/2026)

Idaho
(4/27/2026)

Illinois
(4/27/2026)

Indiana
(4/27/2026)

Iowa
(4/27/2026)

Kansas
(4/27/2026)

Kentucky
(4/27/2026)

Louisiana
(4/27/2026)

Maine
(4/27/2026)

Maryland
(4/27/2026)

Massachusetts
(4/27/2026)

Michigan
(4/27/2026)

Minnesota
(4/27/2026)

Mississippi
(4/27/2026)

Missouri
(4/27/2026)

Montana
(4/27/2026)

Nebraska
(4/27/2026)

Nevada
(4/27/2026)

New Hampshire
(4/27/2026)

New Jersey
(11/22/2017)

IAR

New Jersey
(3/26/2026)

New Mexico
(4/27/2026)

New York
(4/27/2026)

North Carolina
(4/27/2026)

North Dakota
(4/27/2026)

Ohio
(4/27/2026)

Oklahoma
(4/27/2026)

Oregon
(4/27/2026)

Pennsylvania
(4/27/2026)

Rhode Island
(4/27/2026)

South Carolina
(4/27/2026)

South Dakota
(4/27/2026)

Tennessee
(4/27/2026)

Texas
(4/27/2026)

Utah
(4/27/2026)

Vermont
(4/27/2026)

Virginia
(4/27/2026)

Washington
(4/27/2026)

West Virginia
(4/27/2026)

Wisconsin
(4/27/2026)

Wyoming
(4/27/2026)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/16/2026

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/21/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/16/2026

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/27/2017

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SSLLC FMAX ADVISORY PROGRAM WRAP FEE BROCHURE 11.2025 (11/5/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Brian R. Duarte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian R Duarte's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian R Duarte's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANTANDER SECURITIES LLC

Primary Firm SEC Registration

SANTANDER SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2026

Series 63

Date: 11/21/2017

Series 7TO

Date: 1/16/2026

SIE

Date: 10/1/2018

Series 6

Date: 10/27/2017

FINRA

Current Firm

SANTANDER SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SANTANDER SECURITIES LLC

TRUST BUT VERIFY

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