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AR

Angel Rodriguez-conde

ORIENTAL FINANCIAL SERVICES LLC
SAN JUAN, PR 00918
Some features on this profile are disabled
CRD#: 3209550
AR

Professional summary

Angel Rodriguez-conde, who also goes by Angel Rodriguezconde, is a registered financial professional currently at ORIENTAL FINANCIAL SERVICES LLC located in San Juan, .

Angel is registered as a RR (Registered Representative) and started their career in finance in 1999. Angel has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Angel Rodriguezconde

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) - BD

Click below to view Angel Rodriguez-conde'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

January 26, 2015 - Present

ORIENTAL FINANCIAL SERVICES LLC

Office #1: 254 Munoz Rivera Ave 11th Floor, San Juan, PR 00918
RIA
BD
CRD#: 29753
SAN JUAN, PR
Past

April 20, 2009 - February 3, 2015

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

BD
CRD#: 13042
GUAYNABO, PR
Past

April 20, 2009 - February 3, 2015

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
GUAYNABO, PR
Past

March 9, 2001 - May 19, 2009

ORIENTAL FINANCIAL SERVICES LLC

BD
CRD#: 29753
SAN JUAN, PR
Past

June 23, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

June 23, 1999 - March 7, 2001

EQUITABLE ADVISORS, LLC

BD
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".
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.

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
(2/25/2021)
RR
Puerto Rico
(12/17/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/8/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/22/1999
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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
KUMAR, GANESHDIRECTOR6120016
MUNOZ GALARZA, GLENDA L.FINANCIAL AND OPERATIONS MANAGER5037917
PASCUAL NAVARRO, ALEJANDRO MIGUELPRESIDENT & SALES MANAGER4637744
SOUFFRONT, CARLOS O. ESQ.DIRECTOR6272950
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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ORIENTAL FINANCIAL SERVICES LLC

CRD#: 29753San Juan, PR 00918

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