MT
Mariela Torres
ORIENTAL FINANCIAL SERVICES LLC
SAN JUAN, PR 00918
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CRD#: 2735709
MT
Professional summary
Mariela Torres, who also goes by Mariela Colon Torres, Mariela Torres Colon, is a registered financial advisor currently at ORIENTAL FINANCIAL SERVICES LLC located in San Juan, .
Mariela is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Mariela has worked at 8 firms and has passed the Series 65, Series 66, Series 52TO, SIE, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mariela Colon Torres | Mariela Torres Colon
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.
MATOCO LLC,Is , Consulting Firm,"URB EL CEREZAL, CALLE ORINOCO # 1680, SAN JUAN, PR, 00926, United States",Compliance Consulting & Management Services,Sole Owner,4/1/2020, 60-80 hours per month,10 hours per month during trading hours,Other Compensation,Dividends distributions as sole ownerr, income varies per contract. Mainly by fixed agreed amount. Duties: Consult entities on compliance policies, procedures and management strategies".
CRS (Client Relationship Summary) - RIA
Click below to view Mariela Torres's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mariela Torres's 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®
NoneExperience
Current
June 2, 2022 - Present
ORIENTAL FINANCIAL SERVICES LLC
Office #1: 270 Munoz Rivera Ave Suite Mezzanine, San Juan, PR 00918RIA
BD
CRD#: 29753
SAN JUAN, PR
Current
May 9, 2022 - Present
ORIENTAL FINANCIAL SERVICES LLC
Office #1: 254 Munoz Rivera Ave 11th Floor, San Juan, PR 00918RIA
BD
CRD#: 29753
SAN JUAN, PR
Past
May 9, 2022 - May 27, 2022
ORIENTAL FINANCIAL SERVICES LLC
RIA
CRD#: 29753
SAN JUAN, PR
Past
November 8, 2019 - May 31, 2022
VAUBAN WEALTH MANAGEMENT
RIA
CRD#: 305222
GUAYNABO, PR
Past
August 23, 2018 - May 16, 2022
PORTFOLIO RESOURCES GROUP, INC.
BD
CRD#: 31155
MIAMI, FL
Past
January 30, 2018 - June 26, 2019
BNC INTERNATIONAL ADVISORS INC.
RIA
CRD#: 290229
SAN JUAN, PR
Past
August 31, 2004 - September 8, 2017
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
BD
CRD#: 13042
SAN JUAN, PR
Past
August 31, 2004 - September 8, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
December 23, 2001 - July 28, 2004
SAMUEL A. RAMIREZ & COMPANY, INC.
BD
CRD#: 6963
NEW YORK, NY
Past
November 22, 2000 - October 2, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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".
OF
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)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Puerto Rico(6/2/2022)
IAR
Puerto Rico(6/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OF
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)BD
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
30
SEC notice filing (2 States and Territories)
FINRA licenses (11 States and Territories)
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.
