Asesores de Inversión

As Of: 07/15/2016
COMMISIONER OF FINANCIAL INSTITUTIONS
INVESTMENT ADVISORS REGISTERED AND LOCATED IN PUERTO RICO
NAME
LIC.
NUM.
CONTACT
ADDRESS
NEXT
RENEWAL
DATE
CRD. #
TELEPHONE
AND FAX
AC Advisors, LLC
1097
Guillermo J. Hernández
315 Calle Caminio Del Guama Dorado PR 00646
01/01/17
282742
787-671-3659
Adsuar Muniz Goyco Seda & Pérez Ochoa, P.S.C.
0977
Nikos Buxeda
268 Munoz Rivera Ave. Suite 1400 San Juan PR
00918
01/01/17
168387
787-756-9000
AIF Capital Management, LLC
1123
James Alan Hofmockel
Metro Office Park, Valencia Building 17 Street 2,
Suite 640 Guaynabo PR 00968
01/01/17
283447
312-725-4338
Atlantis Investment Coaching, LLC
0764
Omar Pereira
251 Recinto Sur St. 3rd Floor, Suite 303 Old San
Juan PR 00901
01/01/17
145416
787-721-7929
Atlas Asset Management LLC
1031
Paul Hopgood
Buchanan Office Center Suite 201 Rd. 165 No. 40
Guaynabo PR 00968
01/01/17
173561
787-502-2918
ATON Financial LLC
1048
Marko Rendic
1590 Ponce de León Suite 206 San Juan PR 00926
01/01/17
173070
787-459-1780
AXA Advisors, LLC
0417N
Edwin Soto Quinones
1290 Avenue of the Americas New York NY 10104
01/01/17
6627
787-759-3333
212-314-4600
Emilio Vilella
Ochoa Building 500 De la Tanca Street, Suite 205
San Juan PR 00901
01/01/17
165146
787-724-1379
Blue Ocean Strategic Advisors, LLC
0945
Bond Street Management LLC
0935N
Juan Carlos Bou
City View Plaza 2, Suite 6000 48 Road 165
Guaynabo PR 00968
01/01/17
164864
787-993-9663
Broxton Capital Advisors LLC
1089
Robert A. Cooke
1063 Galey Avenue 2nd Floor Los Angeles CA
90024
01/01/17
136914
310-208-2191
Capitalia Advisors, LLC
1043
Roberto Olson
Ave. Palma Real #2 Suite 103 Guaynabo PR 00970
01/01/17
173030
787-705-8694
787-705-8188
Charles Schwab & Co., Inc.
0059N
Barbara Armeli
211 Main Street SF211MN-05-305 San Francisco CA
94105
01/01/17
5393
787-281-2295
415-667-7000
Citigroup Global Markets Inc.
0958N
Dana L. Platt, John C. Gavin
390-388 Greenwich Street New York NY 100132396
01/01/17
7059
212-816-6000
787-622-6350
Consultiva Internacional, Inc.
0360N
Edmundo Garza, Myrna Rivera,
Sonia Vazquez
City View Plaza Tower 1, Suite 801 Guaynabo PR
00968
01/01/17
111846
787-763-5868
ESI Advisors
1119
Julio Javier Cintrón
Urb. Terra Senorial Menorca St. 116 Ponce PR
00731
01/01/17
283973
787-647-9843
Finanxial Investment Advisors, Corp.
0345
Fernando A. Navarro
1569 Alda Street Suite 303, Urb. Caribe San Juan
PR 00926
01/01/17
N/A
787-758-8262
As Of: 07/15/2016
COMMISIONER OF FINANCIAL INSTITUTIONS
INVESTMENT ADVISORS REGISTERED AND LOCATED IN PUERTO RICO
NAME
LIC.
NUM.
CONTACT
ADDRESS
NEXT
RENEWAL
DATE
CRD. #
TELEPHONE
AND FAX
FORTALEZA CAPITAL PARTNERS, LLC
1105
David Millán
250 AVE. PONCE DE LEON CITY TOWERS, SUITE
1003 SAN JUAN PR 00918
01/01/17
234792
Franklin A. Rocafort
0325
Franklin A. Rocafort
Ave. F.D. Roosevelt Marginal Sur #114, Altos San
Juan PR 00918
01/01/17
N/A
787-749-4770
787-787-6467360
787-771-0005
Freedom Advisory, LLC
0800
Eduardo J. Ramos
Centro Internacional de Mercadeo Tower I Suite
205 Guaynabo PR 00968
01/01/17
147546
787-792-3000
Herbert J. Sims Capital Management,
Inc.
1035
Richard A. Cumiskey Jr.
2150 Post Road Fairfield CT 06824
01/01/17
134510
203-418-9000
Jackson Investment Management, LLC
0998
George P. Jackson
Plantation Village Building 1, Apt. 303 Dorado PR
00646
01/01/17
169736
787-709-4864
Kestra Investment Services, LLC
0576N
Michael Pedlow
1250 S. Capital of Texas Hwy. #2-125 Austin TX
78746
01/01/17
42046
512-697-6000
512-697-6000
Lincoln Financial Securities Corporation
0047N
Jose E. Quinones
One Granite Place Concord NH 03301-3258
01/01/17
3870
787-763-9936
484-583-1027
Calle De Diego #488 2nd Floor San Juan PR 00924
01/01/17
282130
787-923-7790
787759-5129
John Richardson
253 San Sebastian St. Mezzanine Level, Old San
Juan San Juan PR 00901-1205
01/01/17
N/A
787-630-4341
Mainstreet Advisors, LLC
1096
Merchant Banking Advisors, Inc.
0358
MML Investors Services, LLC
0269N
Fernando F. Lopez
1295 State Street Springfield MA 01111-0001
01/01/17
10409
787-758-2244
413-744-7885
Oriental Financial Services Corp.
0369N
Sean W. Miles
997 San Roberto Street Oriental Group Tower, 9th
Floor San Juan PR 00926
01/01/17
29753
787-474-1993
787-993-4288
Jose G. Diaz
Professional Offices Park 997 San Roberto Street,
9th Floor San Juan PR 00926
01/01/17
N/A
787-474-1993
Oriental Trust
0537
Pariter Wealth Management Group LLC
0784N
Braulio Nieves
243 Carretera #2 Guaynabo PR 00966-1915
01/01/17
146622
787-781-2555
Paskewitz Asset Management, LLC
1056N
Diana King
644 Fernandez Juncos Avenue San Juan PR 00902
01/01/17
160317
732-393-1600
As Of: 07/15/2016
COMMISIONER OF FINANCIAL INSTITUTIONS
INVESTMENT ADVISORS REGISTERED AND LOCATED IN PUERTO RICO
NAME
LIC.
NUM.
CONTACT
ADDRESS
NEXT
RENEWAL
DATE
CRD. #
TELEPHONE
AND FAX
Popular Securities, LLC.
0377N
Rosa Colón Ortíz
208 Avenue Ponce De Leon Popular Center Suite
1200 San Juan PR 00918-1035
01/01/17
8096
787-758-7400
787-766-4200
R Squared Investment Advisors
1121N
Nirav Patel
208 Ponce De León Avenue Suite 1008 Hato Rey
PR 00918
01/01/17
284448
787-766-7000
Arturo Rodríguez
150 Alhambra Circle Suite 1240 Coral Gables FL
33134
01/01/17
160536
305-347-8700
Yaribell Toledo
1519 Ponce De Leon Avenue First Bank Building,
Suite 1501 San Juan PR 00909-1724
01/01/17
138046
787-721-2483
Peter Sigismondi
255 Ponce De Leon Avenue Suite 106 San Juan PR
00918
01/01/17
138997
787-759-8080
RIWM, LLC
San Juan Asset Management, Inc.
1069
0657N
San Juan Capital Partners, LLC
0668
Santander Asset Management
0319N
Omara Mendez
Santander Tower B-7 Tabonuco Street, Suite 1800
Guaynabo PR 00969
01/01/17
109399
787-759-5378
787-759-5340
Santander Securities LLC
0318N
Lawrence Carter
Santander Tower B7 Tabonuco Street, Suite 1800
Guaynabo PR 00968-3028
01/01/17
41791
787-759-5330
0829
Luis De Jesus
322 De Diego Ave. Suite 202 San Juan PR 00920
01/01/17
150129
787-969-3939
Swan Global Management LLC
1032N
Jim Engelken
7 Ridgetop Palmas del Mar Humacao PR 00791
01/01/17
173621
787-754-3999
The Applied Finance Group
International, LLC
1075N
David D. Jones
1315 Ashford Avenue Apt. 203 San Juan PR 00907
01/01/17
226755
559-577-0081
Transamerica Financial Advisors, Inc.
0584N
Shawn M Mihal
570 Carillon Parkway St. Petersburg FL 337161202
01/01/17
16164
727-557-3736
727-299-1800
VAB Advisors, LLC
0884N
Thomas Civitano
352 Fernando Primero San Juan PR 00918
01/01/17
155204
787-302-1051
Voya Financial Advisors, Inc.
0385N
Paul Heywood
909 Locust Street Des Moines IA 50309
01/01/17
2882
X-Square Capital, Inc.
0952N
Ignacio Canto
Popular Center Building 209 Muñoz Rivera, Suite
1030 Hato Rey PR 00918
01/01/17
167237
787-231-0694
Yale Capital Corp.
1036N
Cheyne Pace
Casa Bonito Business Center Carretera 693 Suite
102 Dorado PR 00646
01/01/17
126992
939-292-7137
Select Advisory Group Inc.
GRAND TOTAL:
45
1-800-356-2906
925-648-7405