Luis R. Fernandez Diaz
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.
Luis Roberto Fernandez Diaz, who also goes by Luis R Fernandez, Luis Roberto Fernandez, Luis R Fernandez Diaz, was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1998. Luis had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2013 - August 13, 2014
POPULAR SECURITIES, LLC
August 9, 2011 - January 31, 2012
POPULAR SECURITIES, LLC
March 24, 2011 - August 13, 2014
POPULAR SECURITIES, LLC
June 9, 1998 - February 24, 2011
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
June 9, 1998 - February 24, 2011
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
POPULAR SECURITIES, LLC
CRD#: 8096 / SEC#: 801-57928, 8-24216
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
POPULAR SECURITIES, LLC
CRD#: 8096 / SEC#: 801-57928, 8-24216
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POPULAR, INC. | HOLDING COMPANY | |
| ACOSTA-ASHBY, MARLA MARIE | CHIEF OPERATING OFFICER AND ELECTED MANAGER | 3256258 |
| CESTERO CASANOVA, LUIS ENRIQUE | ELECTED MANAGER | 7829616 |
| CINTRON ROSARIO, OLGA YARITZA | BRANCH MANAGER | 5055094 |
| COLON ORTIZ, ROSA ANGELA | SENIOR FINANCIAL COMPLIANCE MANAGER | 4202101 |
| DIAZ DEL LLANO, BEATRIZ L | PRINCIPAL FINANCIAL OFFICER | 4576581 |
| FERRER, JAVIER DAVID | ELECTED MANAGER | 7356518 |
| GARCIA INCLAN, FRANCISCO ROBERTO | CHIEF COMPLIANCE OFFICER | 6900966 |
| GARCIA MUÑOZ, JORGE JOSE | ELECTED MANAGER | 7902856 |
| TORO LAVERGNE, JAIME ANTONIO | PRESIDENT AND ELECTED MANAGER | 5984147 |
| TORRES OLMO, ELSIE M | BRANCH MANAGER | 4056079 |
| TORRES RAMOS, JOSE JOAQUIN | PRINCIPAL OPERATIONS OFFICER | 1684523 |
Regulatory assets under management
| Total Number of Accounts | 2,624 |
| AUM (Assets Under Management) | $ 2,260,511,216 |
Disclosures
| Regulatory Event | 6 |
| 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.
