Diane Ruiz is a registered investment advisor at Santander Securities, based in Scotch Plains, NJ, with 23 years of industry experience. Diane operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 10,401 clients with $2.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Santander Securities LLC offers wrap fee advisory programs where you pay a single fee that covers investment management and other services. The annual fee is a percentage of your portfolio's value, calculated at the end of each quarter. The percentage varies depending on the program you choose and the amount you invest. The fee includes the cost of the firm's services and fees associated with the platform they use. Investment manager fees range from 0.15% to 1.00% and are in addition to the program fee. Fees may be negotiable.
Location
2253 North Avenue, Scotch Plains, NJ, 07076
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Diane owns rental property and acts as a landlord since 2021. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Santander Securities
Santander Securities LLC
Santander Securities LLCBroker
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Eagle Strategies LLC
Nylife Securities LLCBroker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Neuberger Berman, LLCBroker
First Union Securities, INC.Broker
State Registrations51 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.