ST
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
12 advisors
Number of Clients
486 clients
Average Client Portfolio
$742K average
Assets Under Management
$360.6M
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Advisor Information
Office location
270 Munoz Rivera Ave Suite Mezzanine, 270 Plaza, 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
January 2022Award / Judgment
Customer Dispute
January 2020Settled
Customer Dispute
September 2019Settled
Customer Dispute
September 2018Settled
Customer Dispute
January 2018Settled
Customer Dispute
December 2017Settled
Customer Dispute
July 2016Settled
Customer Dispute
July 2014Settled
Other Business ActivitiesSells Insurance
Sergio is an insurance agent of Oriental Insurance LLC, selling life, fixed, and variable annuities. This activity takes a few hours per week.
Employment History
Current Registrations
Oriental Financial Services LLC
February 2021 - Present · 4 yrs 11 mos
Oriental Financial Services LLC Broker
September 2005 - Present · 20 yrs 4 mos
State Registrations3 states
NJPRVirgin Islands
AdvisorBrokerBoth
Exams
No exam information available for this advisor.