CRD #150696 · FINRA BrokerCheck + SEC IAPD

Santander US Capital Markets LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Santander US Capital Markets LLC ranks #1,536 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #133 of 868 on the same disclosure sort used on the state browse page. Santander US Capital Markets LLC carries 5 BrokerCheck disclosures across 13 branch offices - moderate load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
13
branch offices
5
disclosures
#1,536 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 150696 Santander US Capital Markets LLC

Santander US Capital Markets LLC · Grade C · 5 disc · 0.38/office · Regional firm

  • CRD 150696
  • GRADE C
  • DISC 5
  • REG 5
  • ARB 0
  • CIV 0
  • BRANCH 13
  • PER-OFF 0.38
  • RANK #1,536 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Essex Financial Services, Inc. (0.38 disc/office)

Essex Financial Service…0.38First Western Securitie…0.38Insight Securities, Inc.0.39Santander US Capita… (this)0.38
Disclosures per office among regional firm peers (lower is cleaner)

Santander US Capital Markets LLC ranks #1,536 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.38 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

13 offices

FINRA: Large firm

Total disclosures

5 events

On FINRA BrokerCheck

Regulatory events

5 actions

100% of all disclosures

Disclosures per office

0.38 per office

5 ÷ 13 offices

Santander US Capital Markets LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 65% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 5
Arbitrations 0
Civil Events 0
Total 5

Counts for Santander US Capital Markets LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY
CRD Number
150696

Regulator-heavy mix

Santander US Capital Markets LLC in the heavier-disclosure third

Santander US Capital Markets LLC carries 5 BrokerCheck disclosures across 13 branch offices - a heavier-third raw book among graded firms (#1,536 of 20,055). Regulator-initiated events are 100% of the book (5 regulatory / 0 arbitration / 0 civil).

100% of Santander US Capital Markets LLC's 5 disclosures are regulator-initiated (5 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Santander US Capital Markets LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.57× state average

Santander US Capital Markets LLC tracks near the New York disclosure average

Santander US Capital Markets LLC reports 5 BrokerCheck disclosures, about 0.57× the New York average of 8.7 across 868 graded firms.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Santander US Capital Markets LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Santander US Capital Markets LLC ranks #1,536 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #133 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Santander US Capital Markets LLC?
A grade of C reflects Santander US Capital Markets LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 5 total disclosures across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Santander US Capital Markets LLC have?
Santander US Capital Markets LLC has 5 total FINRA disclosures, including 5 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Santander US Capital Markets LLC?
Santander US Capital Markets LLC operates 13 branch offices and is classified by FINRA as a large firm, registered in NY (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Santander US Capital Markets LLC's disciplinary record?
You can verify Santander US Capital Markets LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 150696. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Santander US Capital Markets LLC's 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Santander US Capital Markets LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Santander US Capital Markets LLC carries 5 disclosures across 13 branch offices (about 0.38 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Santander US Capital Markets LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Essex Financial Services, Inc. - 0.38 disclosures/office, nearest regional firm peer to Santander US Capital Markets LLC's 0.38
  • First Western Securities, Inc. (TX) - 0.38 disclosures/office, nearest regional firm peer to Santander US Capital Markets LLC's 0.38
  • Insight Securities, Inc. (IL) - 0.39 disclosures/office, nearest regional firm peer to Santander US Capital Markets LLC's 0.38
  • Firms in NY - state roster that includes Santander US Capital Markets LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like Santander US Capital Markets LLC.
  • Reading BrokerCheck Reports - How Santander US Capital Markets LLC's 0.38 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Santander US Capital Markets LLC.
  • Compare firms - put Santander US Capital Markets LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.