RK
Rafael E. Kodesh Alegria
ORIENTAL FINANCIAL SERVICES LLC
Guaynabo, PR 00968
Some features on this profile are disabled
CRD#: 2960042
RK
Professional summary
Rafael Enrique Kodesh Alegria, who also goes by Rafael Enrique Kodesh, Rafaez Enrique Kodesh, is a registered financial advisor currently at ORIENTAL FINANCIAL SERVICES LLC located in Guaynabo, .
Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Rafael has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rafael Enrique Kodesh | Rafaez Enrique Kodesh
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)JBK HORSE RACING COMPANY- OWNER AND GENERAL MANAGER. NON INVESTMENT RELATED BUSINESS, STARTED IN NOV 2013. 5 HOURS A WEEK. OVERSEE HORSES AND HORSES' RACES.
2)KOCO LLC ,owns real estate holding company. Rental building.
3)Invest $50k for 2.5% of LULA PUERTO RICO INVESTORS LLC. Provide seed money for start ups. Related LULA rides in Boston. No time to be devoted.
4)Insurance agent of Oriental Insurance LLC (OIN), OFS affiliate. Sales of life, fixed and variable annuities as part of the product offerings to clients for diversification. All commissions are known to OFS and same payout grid as other OFS products. One to two hours a week. Marketing material provided by OIN and insurance companies.
5)President BOD of JBK Foundation, non profit, raises funds for Education and other needs of the Puerto Rico community. Quarterly meeting.
6) Member of BOD of CPN, school in PR. Quarterly meetings.
7) President & 50% owner KOFU LLC, real estate development company. No compensation at this point. Just incorporated.
8)PRHOA PR HORSE OWNER ASSOCIATION- BOARD MEMBER
CRS (Client Relationship Summary) - RIA
Click below to view Rafael Enrique Kodesh Alegria's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rafael Enrique Kodesh Alegria'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
February 10, 2021 - Present
ORIENTAL FINANCIAL SERVICES LLC
Office #1: Ave. Gonzalez Guisti Corner Ebano Street, Guaynabo, PR 00968Office #2: 270 Munoz Rivera Ave Suite Mezzanine, San Juan, PR 00918RIA
BD
CRD#: 29753
Guaynabo, PR
Current
November 28, 1997 - Present
ORIENTAL FINANCIAL SERVICES LLC
Office #1: Ave. Gonzalez Guisti Corner Ebano Street, Guaynabo, PR 00968Office #2: 254 Munoz Rivera Ave 11th Floor, San Juan, PR 00918RIA
BD
CRD#: 29753
Guaynabo, 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".
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
Florida(1/29/2014)
RR
Georgia(9/20/2021)
RR
New Jersey(1/29/2014)
RR
Puerto Rico(11/28/1997)
IAR
Puerto Rico(2/10/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
ORIENTAL FINANCIAL SERVICES LLC
CRD#: 29753Guaynabo, PR 00968TRUST BUT VERIFY
Monitor Rafael Kodesh Alegria
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
