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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)30 years in industry

Joseph John Braut

Advisor at SANTANDER SECURITIES

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:328501cf-459c-72eb-1c85-cb711160fe3a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jun 4, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SANTANDER SECURITIES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 3, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63|S66
First exam: Jun 3, 1996
First registration: Jun 4, 2007
Dual registered: yes, broker-dealer
Other names: JOSEPH J BRAUT
IAPD individual key: 2595709

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SANTANDER SECURITIES	Bd affiliated wealth	Feb 25, 2025	n/a	yes	Pottstown, PA\|BOYERTOWN, PA\|Flourtown, PA\|Yeadon, PA\|Ardmore, PA\|Philadelphia, PA\|Bryn Mawr, PA\|North Wales, PA\|Philadelphia, PA\|Havertown, PA\|Philadelphia, PA\|Philadelphia, PA\|Wyncote, PA\|Folsom, PA\|Philadelphia, PA\|Elkins Park, PA\|Havertown, PA\|Abington, PA\|Philadelphia, PA\|Conshohocken, PA\|Glen Mills, PA\|Wilmington, DE\|Clifton Heights, PA\|Marcus Hook, PA\|Philadelphia, PA\|Media, PA\|Avondale, PA\|King of Prussia, PA\|Exton, PA\|BROOMALL, PA\|Conshohocken, PA\|Conshohocken, PA	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	Mar 6, 2025	no	WARRINGTON, PA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Aug 17, 2021	Nov 14, 2024	no	Warrington, PA	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Aug 30, 2018	Aug 9, 2021	no	PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|CONSHOHOCKEN, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 5, 2010	Aug 31, 2018	no	PENNINGTON, NJ\|COLUMBIA, MD\|HORSHAM, PA\|HORSHAM, PA\|PHILADELPHIA, PA	Previous registration
CADARET GRANT & CO INC	Former SEC adviser	Mar 2, 2010	Oct 21, 2010	no	SYRACUSE, NY\|NEW BRITAIN, PA	Previous registration
CINCINNATI ANALYSTS, INC	Former SEC adviser	Jan 12, 2009	Mar 2, 2010	no	DOYLESTOWN, PA\|CINCINNATI, OH	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	May 12, 2008	Sep 30, 2008	no	PHILADELPHIA, PA\|BORDENTOWN, NJ\|BURLINGTON, NJ\|DELANCO, NJ\|BURLINGTON, NJ\|EDGEWATER, NJ\|FLORENCE, NJ\|WILLINGBORO, NJ\|RIVERSIDE, NJ\|BURLINGTON, NJ\|WILLINGBORO, NJ\|BEVERLY, NJ\|BURLINGTON, NJ\|PHILADELPHIA, PA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Jun 4, 2007	Sep 14, 2007	no	LANSDALE, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL ENTERPRISE, LLC	SANTANDER SECURITIES	Mar 6, 2025	Feb 25, 2025	-9	Firm change	Other
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
CITIZENS SECURITIES, INC.	PRUCO SECURITIES, LLC	Aug 9, 2021	Aug 17, 2021	8	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIZENS SECURITIES, INC.	Aug 31, 2018	Aug 30, 2018	-1	Firm change	Wirehouse to ibd
CADARET GRANT & CO INC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 21, 2010	Nov 5, 2010	15	Firm change	Other
CINCINNATI ANALYSTS, INC	CADARET GRANT & CO INC	Mar 2, 2010	Mar 2, 2010	0	Firm change	Other
INVEST FINANCIAL CORPORATION	CINCINNATI ANALYSTS, INC	Sep 30, 2008	Jan 12, 2009	104	Firm change	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	INVEST FINANCIAL CORPORATION	Sep 14, 2007	May 12, 2008	241	Firm change	Other

Relationships

Registered with (9)

→ SANTANDER SECURITIESRegistered adviserregistration: current employment
Feb 25, 2025 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Nov 14, 2024 to Mar 6, 2025factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Aug 17, 2021 to Nov 14, 2024factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Aug 30, 2018 to Aug 9, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 5, 2010 to Aug 31, 2018factForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Mar 2, 2010 to Oct 21, 2010factForm ADV
→ CINCINNATI ANALYSTS, INCRegistered adviserregistration: previous registration
Jan 12, 2009 to Mar 2, 2010factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
May 12, 2008 to Sep 30, 2008factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Jun 4, 2007 to Sep 14, 2007factForm ADV

Dated events

Occurred
Mar 6, 2025
Advisor changed firm
Joseph John Braut left Lpl Enterprise, Llc for Santander Securities (registered 2025-02-25)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:328501cf-459c-72eb-1c85-cb711160fe3a
First observed: Jun 4, 2007
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Joseph John Braut

Advisor at SANTANDER SECURITIES

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:328501cf-459c-72eb-1c85-cb711160fe3a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:58 PM UTC and rebuilt at most every 15 minutes.