COMMISIONER OF FINANCIAL INSTITUTIONS BROKER DEALERS

COMMISIONER OF FINANCIAL INSTITUTIONS
BROKER DEALERS REGISTERED AND LOCATED IN PUERTO RICO
NAME
LIC.
NUM.
ADDRESS
NEXT RENEWAL CRD. #
DATE
TELEPHONE AND BRANCHE
FAX
S
CONTACT
Aegis Capital Corp
1478
810 7th Ave. 18th Floor New York NY
10019
01/01/17
15007
212-813-1010 212-8132700
1
Robert J. Eide
AXA Advisors, LLC
323
1290 Avenue of the Americas New York
NY 10104
01/01/17
6627
787-759-3333 212-3144600
10
Maurya C. Keating, Hiram A. Ramírez Rangel
Barclays Capital Inc.
788
745 7th Avenue New York NY 10019
01/01/17
19714
212-526-7000 787-2966831
1
Matthew Eisenberg, Luis Ivan Alfaro
Martínez
Cantor Fitzgerald & Co.
640
110 East 59th Street 4th Floor New York
NY 10022
01/01/17
134
212-938-5000
1
Gary Distell, Joaquin Iglesias
Capital Guardian, LLC
1852
521 East Morehead St. Suite 405 Charlotte
NC 28202
01/01/17
137919
704-705-1868 704-7051860
1
James Ball
Cetera Advisor Networks LLC
737
200 North Sepulveda Blvd. Suite 1300 El
Segundo CA 90245-5672
01/01/17
13572
310-326-3100
8
Douglas King
Champlain Advisors, LLC
1876
Galería de Artes y Ciencias 875 Carr 693,
Suite 102 Dorado PR 00646
01/01/17
129560
917-807-9833
1
Terence M Crikelair
Charles Schwab & Co., Inc.
131
211 Main Street SF211MN-05-305 San
Francisco CA 94105
01/01/17
5393
787-281-2295 415-6677000
1
Francisco J. Vivas, Beverly Neilson
Citi International Financial Services LLC
246
Parque Las Americas 1 235 Federico Costa
Street, Suite 101 San Juan PR 00918
01/01/17
17053
787-999-8026
1
Moises Valladares
Citigroup Global Markets Inc.
068
390-388 Greenwich Street New York NY
10013-2396
01/01/17
7059
212-816-6000 787-6226350
1
Rosemary Francavilla, John C. Gavin
Fairbridge Capital Markets
1062
City View Plaza Tower 1, Suite 801
Guaynabo PR 00968
01/01/17
103818
787-763-5868
1
Eduardo Prado
First Bank Puerto Rico Securities, Corp.
1670
1519 Ponce De Leon Avenue Stop 23 2nd
Floor San Juan PR 00908
01/01/17
150135
787-729-8111
1
Thomas M. McDonald Jr.
First Southern Securities, LLC
1933
1720 Windward Concourse Suite 115
Alpharetta GA 30005
01/01/17
153133
770-777-9373
1
W. Heath Hawk
Gar Wood Securities, LLc
1950
440 S. LaSalle Street Suite 2201 Chicago
IL 60605
01/01/17
138033
312-566-0740 312-5660741
1
Michael Tattas
GWFS Equities, Inc.
1514
8515 E Orchard Road Greenwood Village
CO 80111
01/01/17
13109
303-737-3817 787-3808860
1
Beverly A. Byrne, Beatriz E. Torres
COMMISIONER OF FINANCIAL INSTITUTIONS
BROKER DEALERS REGISTERED AND LOCATED IN PUERTO RICO
NAME
LIC.
NUM.
ADDRESS
NEXT RENEWAL CRD. #
DATE
TELEPHONE AND BRANCHE
FAX
S
CONTACT
Herbert J. Sims & Co., Inc.
1885
2150 Post Road Suite 301 Fairfield CT
06824
01/01/17
3420
203-418-9000 800-5276425
1
Genevieve Freda
IFS Securities
1667
6 Parkside Conc. San Patricio Avenue
Guaynabo PR 00968
01/01/17
40375
939-630-4768 787-9991636
1
Alexy Mckenzie
Independent Financial Group, LLC
1936
12671 High Bluff Drive Suite 200 San
Diego CA 92130
01/01/17
7717
858-436-3180
1
Javier Enrique Cordero Conde
Investacorp, Inc.
1222
4400 Biscayne Blvd 11th Floor Miami FL
33137
01/01/17
7684
305-557-3000
1
Patrick Farrell
Kestra Investment Services, LLC
1161
1250 S. Capital of Texas Hwy. #2-125
Austin TX 78746
01/01/17
42046
512-697-6000 512-6976000
1
Michael Pedlow
Kovack Securities Inc.
1198
6451 N. Federal Hwy. Suite 1201 Ft.
Lauderdale FL 33308
01/01/17
44848
954-670-0608 787-7588234
4
Ronald J. Kovack, Fernando A. Navarro
Lincoln Financial Securities Corporation
207
One Granite Place Concord NH 033013258
01/01/17
3870
787-763-9936 484-5831027
8
Patrick J. Caulfield
Merrill Lynch, Pierce, Fenner & Smith
Incorporated
003
One Bryant Park New York NY 10036
01/01/17
7691
800-637-7455 212-4491000
2
Angela Moore, Hector Lafitte
MML Investors Services, LLC
598
1295 State Street Springfield MA 011110001
01/01/17
10409
787-758-2244 413-7447885
7
Robert S. Rosenthal
Morgan Stanley & Co. LLC
241
1585 Broadway New York NY 10036-8293
01/01/17
8209
212-761-4000 787-2739733
1
Shauna Myers, Jorge Irizarry
Mutual of Omaha Investor Services, Inc.
041
B7 Tabonuco St. Suite 1401 Guaynabo PR
00968-3028
01/01/17
611
787-782-5252 402-3516634
1
Jose R. Bellavista, Amy J. Owens
Nationwide Planning Associates Inc.
1605
115 West Century Road Suite 360
Paramus NJ 07652
01/01/17
31029
201-476-0029
4
Michael J. Karalewich, Jorge M. Rodríguez
Bonano
Oriental Financial Services Corp.
487
997 San Roberto Street Oriental Group
Tower, 9th Floor San Juan PR 00926
01/01/17
29753
787-474-1993 787-9934288
12
Ana R. Suarez
Pariter Securities, LLC
1654
243 Carretera #2 Guaynabo PR 00966
01/01/17
127836
787-781-2555
1
Braulio Nieves
Performance Trust Capital Partners, LLC
936
500 W. Madison Suite 450 Chicago IL
60661
01/01/17
36155
312-521-1000 787-6209833
1
David F. Wilding, Charles M. Carpenter
COMMISIONER OF FINANCIAL INSTITUTIONS
BROKER DEALERS REGISTERED AND LOCATED IN PUERTO RICO
NAME
LIC.
NUM.
ADDRESS
NEXT RENEWAL CRD. #
DATE
TELEPHONE AND BRANCHE
FAX
S
CONTACT
PFS Investments Inc.
162
1 Primerica Parkway Duluth GA 300990001
01/01/17
10111
770-381-1000
31
Daniel A. Woodring
Popular Securities, LLC.
134
01/01/17
8096
787-758-7400 787-7664200
9
Gregory Kaufman
Raymond James Financial Services, Inc.
787
208 Avenue Ponce De Leon Popular
Center Suite 1200 San Juan PR 009181035
880 Carillon Parkway St. Petersburg FL
33716
01/01/17
6694
727-567-3020 787-7256400
2
Mary Haas, Ramon R. Dana, Jr.
RD Capital Group, Inc.
595
MCS Plaza Suite 305 255 Ponce de Leon
Avenue San Juan PR 00917-1903
01/01/17
37470
787-282-0303
1
Cesar Munoz
Royal Alliance Associates, Inc.
168
One World Financial Center 15th Floor
New York NY 10281
01/01/17
23131
800-821-5100
1
Justin Sacca
Samuel A. Ramirez & Co., Inc.
723
61 Broadway Suite 2924 New York NY
10006
01/01/17
6963
212-248-0522 787-7598080
1
Samuel Ramirez, Jose A. Erazo
Santander Securities LLC
665
Santander Tower B7 Tabonuco Street,
Suite 1800 Guaynabo PR 00968-3028
01/01/17
41791
787-759-5330
3
Lawrence Carter
Securities America, Inc.
1702
12325 Port Grace Blvd. La Vista NE
68128
01/01/17
10205
402-399-9111
3
Mark Lasswell
Signator Investors, Inc.
048
197 Clarendon Street (C-8) Boston MA
02116
01/01/17
468
(800) 543-6611 787-7547180
2
Thomas J. Horack
Starlight Securities, Inc.
616
Blanco Bldg., 2nd. Floor Ave. Roosevelt
#505 Guaynabo PR 00920
01/01/17
N/A
787-775-2121
1
Agustin Cabrer
The O.N. Equity Sales Company
740
One Financial Way Cincinnati OH 45242
01/01/17
2936
513-794-6658 513-7946794
1
Barbara A. Turner, Adolfo Krans
Transamerica Financial Advisors, Inc.
918
570 Carillon Parkway St. Petersburg FL
33716-1202
01/01/17
16164
727-557-3736 727-2991800
3
Humberto Torres Jr.
UBS Financial Services Inc.
033
1200 Harbor Boulevard Weehawken NJ
07086
01/01/17
8174
787-250-3600 201-3528967
5
Eileen O'Connell
UBS Financial Services Incorporated Of
PR
177
250 Munoz Rivera Avenue Hato Rey PR
00918
01/01/17
13042
787-250-3600 212-7132000
7
Doel R. García, Eileen O'Connell Arcuri
Universal Financial Services Inc.
1442
Calle Bolivia #33 San Juan PR 009172011
01/01/17
131558
787-793-7202 x. 6108
787-706-7095
1
Jose C. Benitez
Voya Financial Advisors, Inc.
701
909 Locust Street Des Moines IA 50309
01/01/17
2882
1-800-356-2906 925-6487405
1
Paul Heywood
GRAND TOTAL: 46