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Diane Louise Smith

Santander Securities LLC

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About Diane Louise Smith

Diane Louise Smith is a financial advisor with Santander Securities LLC. Diane has been in the industry since 1999 and has experience working with both individuals and businesses. Diane holds the Series 6 and Series 63 licenses as well as the SIE Exam. Diane has a focus on investment products, variable contracts, financial planning, and portfolio management for businesses and individuals. Diane is currently registered with the state of Pennsylvania and is active with the firm.

Firm Information

Diane Smith 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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Diane Smith’s Registration & Firm History

PA

06/04/2013 - Present

Santander Securities LLC (Warminster PA)

PA

01/10/2013 - 05/22/2013

WELLS FARGO ADVISORS, LLC (DRESHER PA)

PA

02/13/2002 - 01/02/2013

M&T SECURITIES, INC. (SOUTH HAMPTON PA)

MO

10/01/2000 - 11/19/2001

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NC

07/12/1999 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 07/17/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/09/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Diane Louise Smith.
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