DP
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
56 advisors
Number of Clients
2,120 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$2.3B
Fee Structure
Minimum Investment:$50K
Popular Securities charges an annual advisory fee with a cap of 2.50% for the FMAX Program and 1.10% for the Fixed Income Program, calculated as a percentage of assets under management. The total client fee is negotiated on a case-by-case basis. Fees are charged quarterly in advance. Financial planning services are offered for a flat fee, which varies depending on the complexity of the plan.
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningEstate PlanningEducation PlanningHigh Net Worth
Loading...
Advisor Information
Office location
Calle Suau #1, Mayaguez, PR, 00680
Get directionsRegulatory History (18)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
June 2021Final
Customer Dispute
September 2018Settled
Customer Dispute
April 2018Settled
Customer Dispute
February 2018Settled
Customer Dispute
December 2017Settled
Customer Dispute
October 2017Settled
Customer Dispute
November 2014Settled
Customer Dispute
September 2014Settled
Customer Dispute
June 2014Settled
Customer Dispute
April 2014Settled
Customer Dispute
January 2012Settled
Customer Dispute
July 2011Closed-No Action
Customer Dispute
March 2011Closed-No Action
Customer Dispute
March 2010Closed-No Action
Customer Dispute
November 2009Settled
Customer Dispute
July 2009Closed-No Action
Customer Dispute
April 2009Settled
Customer Dispute
September 2007Settled
Other Business Activities
Dennis is a director board member and finance consultant for Asociacion Residentes Paseo Los Robles, a non-profit organization, dedicating a few hours per week. He is also the President of D Cummings, LLC, an inheritance asset protection business, dedicating minimal time.
Employment History
Current Registrations
Popular Securities, LLC
February 2014 - Present · 11 yrs 11 mos
Popular Securities, LLC Broker
September 2008 - Present · 17 yrs 4 mos
Previous Registrations
Popular Securities, INC.
August 2011 - January 2012 · 5 mos
Bbva Securities of Puerto Rico, INC.Broker
January 2002 - September 2008 · 6 yrs 8 mos
Salomon Smith Barney INC. Broker
September 1997 - December 2001 · 4 yrs 3 mos
State Registrations4 states
FLPAPRTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.