Michael R. Cioffi

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CRD#: 703919

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Ronald Cioffi, who also goes by Michael R Cioffi, Michael Cioffi, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1980. Michael had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael R Cioffi | Michael Cioffi

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 19, 2016 - January 7, 2019

SANTANDER SECURITIES LLC

CRD#: 41791

EAST BRUNSWICK, NJ

Past

February 3, 2015 - March 23, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

EAST BRUNSWICK, NJ

Past

March 4, 2014 - December 15, 2014

PRUCO SECURITIES, LLC.

CRD#: 5685

EAST BRUNSWICK, NJ

Past

September 30, 2010 - March 1, 2013

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

February 29, 2008 - June 25, 2010

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 6, 2002 - February 6, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 28, 1998 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

February 7, 1995 - January 14, 1998

MIDLAND WALWYN CAPITAL CORPORATION

CRD#: 2775

Past

April 1, 1987 - January 19, 1995

SCOTIA CAPITAL (USA) INC.

CRD#: 2739

NEW YORK, NY

Past

May 14, 1986 - October 21, 1986

CARL MARKS & CO., INC.

CRD#: 2666

Past

January 19, 1980 - April 1, 1986

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 2/24/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/14/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/5/1988

General Securities Principal Examination

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
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.

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Firm Stability Insights

Michael R. Cioffi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

PRUCO SECURITIES, LLC.

CIBC WORLD MARKETS CORP.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

MIDLAND WALWYN CAPITAL CORPORATION

SCOTIA CAPITAL (USA) INC.

CARL MARKS & CO., INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

SANTANDER SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/24/1994

SIE

Date: 10/1/2018

Series 55

Date: 12/14/1999

Series 7

Date: 1/19/1980

Series 24

Date: 10/5/1988

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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