Carlton D. Coleman

SANTANDER SECURITIES LLC

Brooklyn, NY 11209

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CRD#: 7506437

Professional summary

Carlton Drew Coleman, who also goes by Carlton D Coleman, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Brooklyn, New York.

Carlton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Carlton has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlton D Coleman

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 Carlton Drew Coleman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Carlton Drew Coleman'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

July 18, 2025 - Present

SANTANDER SECURITIES LLC

Office #1: 9512 Third Avenue, Brooklyn, NY 11209

RIA

CRD#: 41791

Brooklyn, NY

Current

July 18, 2025 - Present

SANTANDER SECURITIES LLC

Office #1: 9512 Third Avenue, Brooklyn, NY 11209

RIA

CRD#: 41791

Brooklyn, NY

Past

July 11, 2023 - July 15, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

July 11, 2023 - July 15, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 23, 2022 - November 11, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PHILADELPHIA, 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".

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
(7/18/2025)

Alaska
(7/18/2025)

Arizona
(7/18/2025)

Arkansas
(7/18/2025)

California
(7/18/2025)

Colorado
(7/18/2025)

Connecticut
(7/18/2025)

Delaware
(7/18/2025)

District of Columbia
(7/18/2025)

Florida
(7/18/2025)

Georgia
(7/18/2025)

Hawaii
(7/18/2025)

Idaho
(7/18/2025)

Illinois
(7/18/2025)

Indiana
(7/18/2025)

Iowa
(7/18/2025)

Kansas
(7/18/2025)

Kentucky
(7/18/2025)

Louisiana
(7/18/2025)

Maine
(7/18/2025)

Maryland
(7/18/2025)

Massachusetts
(7/18/2025)

Michigan
(7/18/2025)

Minnesota
(7/18/2025)

Mississippi
(7/18/2025)

Missouri
(7/18/2025)

Montana
(7/18/2025)

Nebraska
(7/18/2025)

Nevada
(7/18/2025)

New Hampshire
(7/18/2025)

New Jersey
(7/18/2025)

New Mexico
(7/18/2025)

New York
(7/18/2025)

IAR

New York
(7/18/2025)

North Carolina
(7/18/2025)

North Dakota
(7/18/2025)

Ohio
(7/21/2025)

Oklahoma
(7/18/2025)

Oregon
(7/18/2025)

Pennsylvania
(7/18/2025)

Rhode Island
(7/18/2025)

South Carolina
(7/18/2025)

South Dakota
(7/18/2025)

Tennessee
(7/18/2025)

Texas
(7/18/2025)

Utah
(7/18/2025)

Vermont
(7/18/2025)

Virginia
(7/18/2025)

Washington
(7/18/2025)

West Virginia
(7/18/2025)

Wisconsin
(7/18/2025)

Wyoming
(7/18/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/21/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/23/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/27/2022

Securities Industry Essentials 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
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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Advisor Monitoring

Firm Stability Insights

Carlton D. Coleman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlton Drew Coleman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Carlton Drew Coleman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANTANDER SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SANTANDER SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/21/2023

Series 7TO

Date: 9/23/2022

SIE

Date: 5/27/2022

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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