Hector A. Martinez

FSAM LLC

GUAYNABO, PR 00968

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CRD#: 2533545

Professional summary

Hector A Martinez, who also goes by Hector A Martinez Lopez, Hector Adolfo Martinez Lopez, Hector A Martinezlopez, Tito Martinezlopez, is a registered financial advisor currently at FSAM LLC located in Guaynabo, and FIRST SOUTHERN, LLC located in Guaynabo, .

Hector is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Hector has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hector A Martinez Lopez | Hector Adolfo Martinez Lopez | Hector A Martinezlopez | Tito Martinezlopez

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.

1) DBA: OVERTURE INC. - 644 FERNANDEZ JUNCOS AVE., SUITE 301 SAN JUAN, PR 00907; FINANCIAL SERVICES; INVESTMENT RELATED; SENIOR PARTNER; FINANCIAL SALES; 80% OF TIME SPENT 2) AOM DIGITAL, SPORT & ENTERTAINMENT MARKETING - MC LEARY 1800 PH1, SAN JUAN, PR 00911; MARKETING FOR BUSINESS OWNERS, ARTISTS, ATHLETES; PARTNER; NOT INVESTMENT RELATED; PARTNER; CONSULTING; 10% OF TIME SPENT 2) Naven Investment Group, First Floor, 1506 Ponce de Leon Ave. San Juan PR 00907, Business is investment related, started 4/2020, Title: Investment Advisor, Nature of business: Private equity fund/Venture Capital by the act 185-2014 PR law, Devote 16 hours/month, duties oversee the investment in the portfolio meet the requirements by law.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hector A Martinez'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

July 24, 2019 - Present

FSAM LLC

Office #1: Gam Tower 2 Tabonuco Street, Suite 200, Guaynabo, PR 00968

RIA

CRD#: 287851

GUAYNABO, PR

Current

June 22, 2019 - Present

FIRST SOUTHERN, LLC

Office #1: Gam Tower 2 Tabonuco Street, Suite 200, Guaynabo, PR 00968

CRD#: 282756

Guaynabo, PR

Past

June 20, 2019 - July 8, 2019

FSAM LLC

RIA

CRD#: 287851

ALPHARETTA, GA

Past

May 14, 2015 - June 17, 2019

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

SAN JUAN, PR

Past

April 10, 2015 - June 17, 2019

KOVACK SECURITIES INC.

CRD#: 44848

San Juan, PR

Past

August 16, 2007 - April 22, 2015

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

SAN JUAN, PR

Past

August 16, 2007 - April 22, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN JUAN, PR

Past

March 3, 2000 - August 22, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN JUAN, PR

Past

June 11, 1997 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

June 11, 1997 - February 2, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

FSAM LLC

FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC

CRD#: 287851 / SEC#: 801-122054

RIA

Registered Investment Advisory firm - (8/12/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (3/30/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(7/20/2021)

Florida
(9/6/2019)

Maryland
(1/26/2022)

Massachusetts
(1/20/2021)

New York
(9/17/2019)

Pennsylvania
(2/4/2021)

Puerto Rico
(7/24/2019)

IAR

Puerto Rico
(7/24/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/10/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/2/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/7/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FSAM LLC

FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC

CRD#: 287851 / SEC#: 801-122054

RIA

Registered Investment Advisory firm - (8/12/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (3/30/2022 Terminated)

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Contact information

Main Address

1720 Windward Concourse Suite 115, Alpharetta, GA 30005

Mailing Address

Phone number

(770) 777-9373

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FSAM, LLC PART 2A FIRM BROCHURE (10/15/2025)

FSAM LLC WRAP FEE BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 112,853,411

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

Hector A. Martinez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hector A Martinez's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST SOUTHERN, LLC

FSAM LLC

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

FSAM LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/10/2000

Series 65

Date: 6/2/1999

SIE

Date: 10/1/2018

Series 7

Date: 12/14/1999

Series 6

Date: 6/7/1997

FINRA

Current Firm

FSAM LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FSAM LLC

TRUST BUT VERIFY

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