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RP

Rene F. Palacios

Some features on this profile are disabled
CRD#: 3188994
RP
Rene Francisco Palacios

Professional summary

Rene Francisco Palacios was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rene is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Rene had worked at 3 firms, which includes ORIENTAL FINANCIAL SERVICES LLC, R-G INVESTMENTS CORPORATION, INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC.

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 12, 2006 - November 30, 2007

ORIENTAL FINANCIAL SERVICES LLC

BD
CRD#: 29753
SAN JUAN, PR
Past

June 17, 2002 - May 23, 2006

R-G INVESTMENTS CORPORATION

BD
CRD#: 113293
SAN JUAN, PR
Past

September 18, 2000 - June 28, 2002

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
SAN JUAN, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 9/15/2000
General Securities Representative Examination

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)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
OFG BANCORPPARENT COMPANY , MEMBER
FERNANDEZ MARTINEZ, JOSE RAFAELOPTIONS PRINCIPAL, AND DIRECTOR1556546
MUNOZ GALARZA, GLENDA L.FINANCIAL AND OPERATIONS MANAGER5037917
PASCUAL NAVARRO, ALEJANDRO MIGUELPRESIDENT & SALES MANAGER4637744
RODRIGUEZ MIMOSO, MARI EVELYNDIRECTOR8207563
ROSADO, RAMON ARTURODIRECTOR2396515
TORRES, MARIELACHIEF COMPLIANCE OFFICER2735709

Regulatory assets under management

Total Number of Accounts486
AUM (Assets Under Management)$ 360,606,482

Disclosures

Regulatory Event5
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

ORIENTAL FINANCIAL SERVICES LLC

CRD#: 29753

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