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Carlos Arturo Vargas

Santander Securities LLC

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About Carlos Arturo Vargas

Carlos Vargas is a financial professional with over 25 years of experience in the industry. Carlos is currently registered with Santander Securities LLC and is located in Miami, Florida. Previously, Carlos was a Registered Representative with Oppenheimer & Co. Inc., Mizuho Securities USA LLC, ABN AMRO Incorporated, Bear, Stearns & Co. Inc., UBS Securities LLC and Citigroup Securities, Inc. Carlos holds the Series 7, Series 63, Series 79TO and SIE licenses.

Firm Information

Carlos Vargas is currently registered with Santander Securities LLC. Santander Securities LLC is a Limited Liability Company headquartered in Boston, MA. Founded in 2023, the firm offers financial planning, portfolio management for individuals and businesses, and selection of other advisers. Santander Securities LLC manages approximately $2,130,323,875 in regulatory assets under management for 9,813 clients. They are registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.
Santander Securities LLC

75 STATE STREET

BOSTON, MA 02109

$2.13B

Assets Under Management

Not reported

Total Clients

365

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carlos Vargas’s Registration & Firm History

FL

09/30/2021 - Present

Santander Securities LLC (Miami FL)

NY

04/26/2018 - 03/27/2020

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

03/16/2010 - 02/02/2018

MIZUHO SECURITIES USA LLC (NEW YORK NY)

NY

07/15/2003 - 06/16/2009

ABN AMRO INCORPORATED (NEW YORK NY)

NY

06/25/1998 - 12/04/2002

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

06/20/1996 - 06/18/1998

UBS SECURITIES LLC (NEW YORK NY)

NY

06/02/1994 - 08/26/1996

CITICORP SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/21/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/20/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/01/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Carlos Arturo Vargas. Review regulatory record here.
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