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Investment Adviser Firm Summary

SANTANDER SECURITIES LLC (CRD# 41791 / SEC# 8-49571, 801-56796)

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/02/1999

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/19/2014
Alaska 08/03/2012
Arizona 08/03/2012
Arkansas 08/03/2012
California 08/03/2012
Colorado 08/03/2012
Connecticut 08/03/2012
Delaware 08/03/2012
District of Columbia 08/03/2012
Florida 08/06/2012
Georgia 08/03/2012
Hawaii 08/03/2012
Idaho 08/03/2012
Illinois 10/17/2012
Indiana 08/03/2012
Iowa 08/03/2012
Kansas 08/03/2012
Kentucky 08/03/2012
Louisiana 08/03/2012
Maine 08/03/2012
Maryland 08/03/2012
Massachusetts 08/03/2012
Michigan 08/03/2012
Minnesota 08/03/2012
Mississippi 08/03/2012
Missouri 03/19/2014
Montana 08/03/2012
Nebraska 08/03/2012
Nevada 08/03/2012
New Hampshire 08/03/2012
New Jersey 08/24/2012
New Mexico 08/03/2012
New York 08/03/2012
North Carolina 08/03/2012
North Dakota 03/19/2014
Ohio 08/03/2012
Oklahoma 08/03/2012
Oregon 08/03/2012
Pennsylvania 08/03/2012
Puerto Rico 09/24/1999
Rhode Island 08/03/2012
South Carolina 08/03/2012
South Dakota 08/03/2012
Tennessee 08/03/2012
Texas 08/03/2012
Utah 08/03/2012
Vermont 08/03/2012
Virgin Islands 08/03/2012
Virginia 08/03/2012
Washington 08/03/2012
West Virginia 03/19/2014
Wisconsin 08/03/2012

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser