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DD

Dexter F. De La Rosa

SANTANDER SECURITIES LLC
Broomall, PA 19008
Some features on this profile are disabled
CRD#: 7157912
DD

Professional summary

Dexter Francis De La Rosa, who also goes by Dexter Francis De La Rosa, Dexter De La Rosa, Dexter Francis Dela Rosa, Dexter Francis Delarosa, Dexter F. De La Rosa, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Broomall, Pennsylvania.

Dexter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Dexter has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dexter Francis De La Rosa | Dexter De La Rosa | Dexter Francis Dela Rosa | Dexter Francis Delarosa | Dexter F. De La Rosa

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 Dexter Francis De La Rosa's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dexter Francis De La Rosa'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

September 20, 2024 - Present

SANTANDER SECURITIES LLC

Office #1: 3001 West Chester Pike, Broomall, PA 19008
RIA
BD
CRD#: 41791
Broomall, PA
Current

September 20, 2024 - Present

SANTANDER SECURITIES LLC

Office #1: 3001 West Chester Pike, Broomall, PA 19008
RIA
BD
CRD#: 41791
Broomall, PA
Past

April 18, 2024 - October 1, 2024

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
KING OF PRUSSIA, PA
Past

April 18, 2024 - October 1, 2024

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
KING OF PRUSSIA, PA
Past

January 31, 2023 - April 26, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WAYNE, PA
Past

August 17, 2022 - April 26, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WAYNE, PA
Past

June 12, 2020 - May 1, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Wayne, PA
Past

October 16, 2019 - February 13, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WAYNE, PA

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
Pennsylvania
(9/20/2024)
IAR
Pennsylvania
(9/20/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/27/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/24/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/16/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2019
Securities Industry Essentials Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
SANTANDER CAPITAL HOLDINGS, LLCDIRECT OWNER
BOWLER, DANIEL PCHIEF FINANCIAL OFFICER5354805
CARTER, LAWRENCE ANDREWCHIEF COMPLIANCE OFFICER2113682
CYLC, JOHN ALLAN IINATIONAL BUSINESS DIRECTOR2917559
NEURATH, DUSTINDIRECTOR8044630
SCHMITZ, NICOLECHIEF OPERATIONS OFFICER2815862
SNYDER, JONATHAN ANDREWPRESIDENT & CEO6514215
VANNAH, JAMES DOUGLASSCHIEF LEGAL OFFICER & SECRETARY5679595
VILLANO, ALYSON NICOLEDIRECTOR7473984
WATSON, JONATHAN EDWARDDIRECTOR7631421

Regulatory assets under management

Total Number of Accounts10,401
AUM (Assets Under Management)$ 2,553,311,017

Disclosures

Regulatory Event12
Arbitration7

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#: 41791Broomall, PA 19008

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