AP
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 (17)
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
February 2024Pending
Customer Dispute
October 2023Withdrawn
Customer Dispute
August 2019Settled
Customer Dispute
June 2019Settled
Customer Dispute
April 2019Award / Judgment
Customer Dispute
November 2018Settled
Customer Dispute
June 2018Settled
Customer Dispute
April 2018Settled
Customer Dispute
February 2018Settled
Customer Dispute
January 2018Settled
Customer Dispute
September 2017Settled
Customer Dispute
July 2017Settled
Customer Dispute
October 2016Settled
Customer Dispute
February 2016Closed-No Action
Customer Dispute
October 2015Settled
Customer Dispute
December 2014Settled
Customer Dispute
April 2014Settled
Other Business ActivitiesSells Insurance
Alexis is an insurance agent of Oriental Insurance LLC, selling life, fixed, and variable annuities to clients for diversification. This activity takes a few hours per week.
Employment History
Current Registrations
Oriental Financial Services LLC
May 2021 - Present · 4 yrs 8 mos
Oriental Financial Services LLC Broker
June 2005 - Present · 20 yrs 7 mos
State Registrations4 states
FLGAOHPR
AdvisorBrokerBoth
Exams
No exam information available for this advisor.