Juan L. Gonzalez Rivera

ORIENTAL FINANCIAL SERVICES LLC

PONCE, PR 00731

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CRD#: 2274031

Professional summary

Juan Luis Gonzalez Rivera, who also goes by Juan Luis Gonzalez, Juan L Gonzalez-rivera, is a registered financial professional currently at ORIENTAL FINANCIAL SERVICES LLC located in Ponce, .

Juan is registered as a RR (Registered Representative) and started their career in finance in 1994. Juan has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Juan Luis Gonzalez | Juan L Gonzalez-Rivera

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Juan Luis Gonzalez Rivera's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 15, 2013 - Present

ORIENTAL FINANCIAL SERVICES LLC

Office #1: Las Americas Avenue Corner Carretera #2, Ponce, PR 00731

RIA

CRD#: 29753

PONCE, PR

Past

March 27, 2001 - May 23, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PONCE, PR

Past

March 27, 2001 - May 31, 2013

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

PONCE, PR

Past

April 8, 1998 - March 22, 2001

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

February 17, 1995 - April 6, 1998

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

CRD#: 17053

SAN JUAN, PR

Past

July 19, 1994 - March 3, 1995

ORIENTAL FINANCIAL SERVICES LLC

CRD#: 29753

SAN JUAN, PR

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ORIENTAL FINANCIAL SERVICES LLC

ORIENTAL FINANCIAL SERVICES | ORIENTAL WEALTH MANAGEMENT | ORIENTAL FINANCIAL SERVICES LLC | ORIENTAL FINANCIAL SERVICES CORP.

CRD#: 29753 / SEC#: 801-88203, 8-44516

RIA

Registered Investment Advisory firm - SEC (4/23/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(1/26/2015)

New York
(5/31/2013)

Puerto Rico
(5/15/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/28/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/13/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/18/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/20/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/3/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ORIENTAL FINANCIAL SERVICES LLC

ORIENTAL FINANCIAL SERVICES | ORIENTAL WEALTH MANAGEMENT | ORIENTAL FINANCIAL SERVICES LLC | ORIENTAL FINANCIAL SERVICES CORP.

CRD#: 29753 / SEC#: 801-88203, 8-44516

RIA

Registered Investment Advisory firm - SEC (4/23/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

254 Munoz Rivera Ave Suite Mezzanine, San Juan, PR 00918

Mailing Address

P.o. Box 195115, San Juan, PR 00919-5115

Phone number

(787) 474-1993

Established

Puerto Rico since 12/30/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
OFG BANCORP	PARENT COMPANY , MEMBER
FERNANDEZ MARTINEZ, JOSE RAFAEL	OPTIONS PRINCIPAL, AND DIRECTOR	1556546
KUMAR, GANESH	DIRECTOR	6120016
MUNOZ GALARZA, GLENDA L.	FINANCIAL AND OPERATIONS MANAGER	5037917
PASCUAL NAVARRO, ALEJANDRO MIGUEL	PRESIDENT & SALES MANAGER	4637744
SOUFFRONT, CARLOS O. ESQ.	DIRECTOR	6272950
TORRES, MARIELA	CHIEF COMPLIANCE OFFICER	2735709

Regulatory assets under management

Total Number of Accounts	486
AUM (Assets Under Management)	$ 360,606,482

Disclosures

Regulatory Event	5
Arbitration	6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Juan L. Gonzalez Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Juan Luis Gonzalez Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

SANTANDER SECURITIES LLC

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

ORIENTAL FINANCIAL SERVICES LLC

Primary Firm SEC Registration

ORIENTAL FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2002

Series 63

Date: 10/16/1998

SIE

Date: 10/1/2018

Series 3

Date: 8/13/2008

Series 7

Date: 7/18/1994

Series 9

Date: 10/20/2004

Series 10

Date: 9/3/2004

Series 24

Date: 12/13/1997

FINRA

Current Firm

ORIENTAL FINANCIAL SERVICES LLC

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ORIENTAL FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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