POPULAR SECURITIES, LLC of HATO REY, PR is an SEC-registered investment adviser (CRD 8096). Regulatory assets under management: $2.6B.
Compensation: % of AUM, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 44 people.
| Name | Role | Location |
|---|---|---|
| Ignacio Alvarez Zatarain | ELECTED MANAGER | — |
| Beatriz L Diaz Del Llano | PRINCIPAL FINANCIAL OFFICER | — |
| Jose Joaquin Torres Ramos | PRINCIPAL OPERATIONS OFFICER | — |
| Marla Marie Acosta-Ashby | CHIEF OPERATING OFFICER AND ELECTED MANAGER | — |
| Jaime Antonio Toro Lavergne | PRESIDENT AND ELECTED MANAGER | — |
| Rosa Angela Colon Ortiz | SENIOR FINANCIAL COMPLIANCE MANAGER | — |
| Javier David Ferrer | ELECTED MANAGER | — |
| Elsie M Torres Olmo | BRANCH MANAGER | — |
| Francisco Roberto Garcia Inclan | CHIEF COMPLIANCE OFFICER | — |
| Luis Enrique Cestero Casanova | ELECTED MANAGER | — |
| Jorge Jose Garcia MuñOz | ELECTED MANAGER | — |
| Olga Yaritza Cintron Rosario | BRANCH MANAGER; SALES MANAGER | — |
| CARRION RICHARD L | DIRECTOR; ELECTED MANAGER | — |
| CHAFEY DAVID H | DIRECTOR | — |
| GUERRERO JUAN O | DIRECTOR; ELECTED MANAGER; MANAGING DIRECTOR | — |
| MCGRATH KENNETH WILLIAM | PRESIDENT & CEO; SENIOR MANAGING DIRECTOR | — |
| BELLO HARRY ANTONIO | MANAGING DIRECTOR | — |
| HERRERA MARIA T | CCO; CHIEF COMPLIANCE OFFICER; DIRECTOR (+2 more) | — |
| KAUFMAN GREGORY | CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR; PRESIDENT & CEO | — |
| VAZQUEZ CARLOS JOSE | DIRECTOR; ELECTED MANAGER | — |
| DIAZ BEATRIZ L | CFO; PRINCIPAL FINANCIAL OFFICER | — |
| MCDONALD THOMAS MICHAEL JR | PRESIDENT & CEO | — |
| CASTELLVI BEATRIZ | CFO; COO | — |
| GONZALEZ ROY R | DIRECTOR | — |
| RODRIGUEZCOLOM JAMES ARTHUR | MANAGING DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | POPULAR ADVISED CLIENTS TO PURCHASE OR HOLD MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES WHEN LOWER-COST SHARE CLASSES OF THOSE SAME FUNDS WERE AVAILABLE. AS A RESULT, POPULAR SECURITIES RECEIVED 12B-1 FEES THAT IT WOULD NOT HAVE COLLECTED HAD THOSE CLIENTS BEEN INVESTED IN THE AVAILABLE LOWER-… | Final | — |
| 2013-11-04 | regulatory | FINRA'S EXAMINATION FOCUSED ON (1) THE ADEQUACY OF THE FIRM'S SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES RELATING TO CONCENTRATION OF PUERTO RICO SECURITIES IN CUSTOMER ACCOUNTS, AND (2) THE SUITABILITY OF RECOMMENDATIONS THE FIRM MADE TO ITS CUSTOMERS RELATING TO PUERTO RICO SECURITIES. | Final | $125K |
| 2007-08-22 | regulatory | MSRB RULE A-13(D)- RESPONDENT FIRM FAILED TO TIMELY PAY MUNICIPAL SECURITIES TRANSACTION FEES AND MUNICIPAL SECURITIES UNDERWRITING FEES TO THE MSRB. | Final | $5K |
| 2005-06-28 | regulatory | MSRB RULES G-14 AND G-27: THE FIRM FAILED TO TIMELY REPORT ITS MUNICIPAL SECURITIES CUSTOMER TRANSACTIONS TO THE MSRB. THE FIRM ALSO FAILED TO TIMELY REPORT ITS MUNICIPAL SECURITIES INTER-DEALER TRANSACTIONS TO THE MSRB. THE FIRM FAILED TO MONITOR ITS TRADE REPORTING TO ENSURE COMPLIANCE WITH MSRB R… | Final | $40K |