Alberto J. Perez
Professional summary
Alberto Jose Perez was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alberto Jose Perez, who also goes by Pujals Alberto J Perez, was a registered financial professional .
Alberto is a previously registered financial professional and started their career in finance in 1991. Alberto had worked at 6 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2006 - May 11, 2007
POPULAR SECURITIES, LLC
July 30, 1999 - April 1, 2006
CITIGROUP GLOBAL MARKETS INC.
August 13, 1996 - October 22, 1999
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
May 17, 1995 - August 23, 1996
RD CAPITAL GROUP, INC.
June 7, 1994 - May 23, 1995
ORIENTAL FINANCIAL SERVICES LLC
December 11, 1991 - May 26, 1994
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
POPULAR SECURITIES, LLC
CRD#: 8096 / SEC#: 801-57928, 8-24216
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
POPULAR SECURITIES, LLC
CRD#: 8096 / SEC#: 801-57928, 8-24216
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POPULAR, INC. | HOLDING COMPANY | |
| ACOSTA-ASHBY, MARLA MARIE | CHIEF OPERATING OFFICER AND ELECTED MANAGER | 3256258 |
| CESTERO CASANOVA, LUIS ENRIQUE | ELECTED MANAGER | 7829616 |
| CINTRON ROSARIO, OLGA YARITZA | BRANCH MANAGER | 5055094 |
| COLON ORTIZ, ROSA ANGELA | SENIOR FINANCIAL COMPLIANCE MANAGER | 4202101 |
| DIAZ DEL LLANO, BEATRIZ L | PRINCIPAL FINANCIAL OFFICER | 4576581 |
| FERRER, JAVIER DAVID | ELECTED MANAGER | 7356518 |
| GARCIA INCLAN, FRANCISCO ROBERTO | CHIEF COMPLIANCE OFFICER | 6900966 |
| GARCIA MUÑOZ, JORGE JOSE | ELECTED MANAGER | 7902856 |
| TORO LAVERGNE, JAIME ANTONIO | PRESIDENT AND ELECTED MANAGER | 5984147 |
| TORRES OLMO, ELSIE M | BRANCH MANAGER | 4056079 |
| TORRES RAMOS, JOSE JOAQUIN | PRINCIPAL OPERATIONS OFFICER | 1684523 |
Regulatory assets under management
| Total Number of Accounts | 2,624 |
| AUM (Assets Under Management) | $ 2,260,511,216 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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