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Sonia I. Ferrer-pla

Some features on this profile are disabled
CRD#: 2347009
SF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sonia Iris Ferrer-pla, who also goes by Sonia Iris Ferrer, Sonia Iris Ferrerpla, was a registered financial professional .

Sonia is a previously registered financial professional and started their career in finance in 1993. Sonia had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sonia Iris Ferrer | Sonia Iris Ferrerpla

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 10, 2012 - August 8, 2013

OFS SECURITIES, INC.

BD
CRD#: 39615
HATO REY, PR
Past

June 24, 2008 - November 15, 2011

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
HATO REY, PR
Past

November 5, 2001 - June 23, 2008

OFS SECURITIES, INC.

BD
CRD#: 39615
HATO REY, PR
Past

May 21, 1997 - November 5, 2001

POPULAR SECURITIES, LLC

BD
CRD#: 8096
SAN JUAN, PR
Past

July 29, 1996 - May 21, 1997

MARKETING ONE SECURITIES, INC.

BD
CRD#: 16611
PORTLAND, OR
Past

June 15, 1993 - July 25, 1996

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/5/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

OS
OFS SECURITIES, INC.
BBV CAPITAL MARKETS OF PUERTO RICO | TRANSAMERICA CAPITAL MARKETS CORPORATION | THE CAPITAL MARKETS CORPORATION OF PUERTO RICO | OFS SECURITIES, INC. | OFS SECURITIES | BBVA SECURITIES OF PUERTO RICO, INC. | BBVA SECURITIES | BBVA CAPITAL MARKETS OF PUERTO RICO, INC. | BBVA CAPITAL MARKETS OF PUERTO RICO | BBV CAPITAL MARKETS OF PUERTO RICO, INC.

CRD#: 39615 / SEC#: , 8-48753

BD
Terminated by SEC on 10/13/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Puerto Rico since 10/05/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OFGBANCORPPARENT
COLLAZO, ZELMA DESIREEFINANCIAL OPERATIONS PRINCIPAL3161348
COLONASCAR, RAFAELPRESIDENT1009934
FERNANDEZ MARTINEZ, JOSE RAFAELDIRECTOR1556546
GONZALEZ LUGO, JOSE RAMONDIRECTOR1121410
KUMAR, GANESHDIRECTOR6120016
MARBARAK, SONIA EMILIACHIEF COMPLIANCE OFFICER1498281

Disclosures

Regulatory Event2
Arbitration4

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.

Company Information

OFS SECURITIES, INC.

CRD#: 39615

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