Ramon Arturo Rosado
Professional Summary
Ramon Arturo Rosado, who also goes by Ramon Arturo Rosado Linera, is a registered financial advisor currently at ORIENTAL FINANCIAL SERVICES LLC located in San Juan, undefined. Ramon is registered as a RR (Registered Representative) and started their career in finance in 1993. Ramon has worked at 3 firms and has passed the Series 7TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ramon Arturo Rosado Linera
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
ORIENTAL FINANCIAL SERVICES | ORIENTAL WEALTH MANAGEMENT | ORIENTAL FINANCIAL SERVICES LLC | ORIENTAL FINANCIAL SERVICES CORP.
Contact Information
Main Address
254 Munoz Rivera Ave 11th Floor, San Juan, PR 00918Mailing Address
P.o. Box 195115, San Juan, PR 00919-5115Phone Number
(787) 474-1993Established
Puerto Rico since 12/30/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
28SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
FINRA licenses (11 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OFG BANCORP | PARENT COMPANY , MEMBER | — |
| FERNANDEZ MARTINEZ, JOSE RAFAEL | OPTIONS PRINCIPAL, AND DIRECTOR | 1556546 |
| MUNOZ GALARZA, GLENDA L. | FINANCIAL AND OPERATIONS MANAGER | 5037917 |
| PASCUAL NAVARRO, ALEJANDRO MIGUEL | PRESIDENT & SALES MANAGER | 4637744 |
| RODRIGUEZ MIMOSO, MARI EVELYN | DIRECTOR | 8207563 |
| ROSADO, RAMON ARTURO | DIRECTOR | 2396515 |
| TORRES, MARIELA | CHIEF COMPLIANCE OFFICER | 2735709 |
Regulatory Assets Under Management
Total Number of Accounts
468AUM (Assets Under Management)
$419,555,784Disclosures
Regulatory Event
5Arbitration
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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.
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Primary Firm SEC Registration
ORIENTAL FINANCIAL SERVICES | ORIENTAL WEALTH MANAGEMENT | ORIENTAL FINANCIAL SERVICES LLC | ORIENTAL FINANCIAL SERVICES CORP.
State Registrations and Notice Filings
(5/3/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ramon Arturo Rosado's CRS (Customer Relationship Summary).
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