CA
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
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Advisor Information
Office location
208 Ponce de Leon Ave, POPULAR CENTER Suite 1200, San Juan, PR, 00918
Get directionsRegulatory History (8)
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.
Customer Dispute
October 2019Settled
Customer Dispute
April 2019Settled
Customer Dispute
June 2018Settled
Customer Dispute
November 2014Settled
Customer Dispute
January 2011Settled
Customer Dispute
August 2010Award / Judgment
Customer Dispute
May 2010Closed-No Action
Customer Dispute
July 2009Closed-No Action
Employment History
Current Registrations
Popular Securities, LLC
March 2020 - Present · 5 yrs 10 mos
Popular Securities, LLC Broker
November 2001 - Present · 24 yrs 2 mos
State Registrations5 states
FLMDMSPRSC
AdvisorBrokerBoth
Exams
No exam information available for this advisor.