AR
Abimael Rosario Aleman
POPULAR SECURITIES
Santurce, PR 00976
Some features on this profile are disabled
CRD#: 4153329
AR
Professional summary
Abimael Rosario Aleman, CFP®, CIMA®, who also goes by Abimael Rosario, is a registered financial advisor currently at POPULAR SECURITIES, LLC located in Santurce, .
Abimael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Abimael has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Abimael Rosario
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.
CRS (Client Relationship Summary) - RIA
Click below to view Abimael Rosario Aleman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Abimael Rosario Aleman'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®
CFP®
Start date: 2017
Experience
Current
June 10, 2013 - Present
POPULAR SECURITIES, LLC
Office #1: Roberto H. Todd #100, Santurce, PR 00976RIA
BD
CRD#: 8096
Santurce, PR
Current
August 7, 2001 - Present
POPULAR SECURITIES, LLC
Office #1: Roberto H. Todd #100, Santurce, PR 00976RIA
BD
CRD#: 8096
Santurce, PR
Past
August 9, 2011 - March 20, 2012
POPULAR SECURITIES, LLC
RIA
CRD#: 8096
TOA BAJA, 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".
POPULAR SECURITIES, LLC
BP CAPITAL MARKETS, INC. | POPULAR SECURITIES, LLC | POPULAR SECURITIES, INC. | POPULAR ONE | FIRST BOSTON (PUERTO RICO), INC. | CS FIRST BOSTON (PUERTO RICO), INC.
CRD#: 8096 / SEC#: 801-57928, 8-24216
RIA
Registered Investment Advisory firm - SEC (9/29/2000 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
California(11/23/2010)
RR
Connecticut(2/26/2020)
RR
Florida(5/22/2009)
RR
Georgia(12/9/2020)
RR
Illinois(1/8/2026)
RR
Michigan(1/18/2011)
RR
New Jersey(2/12/2020)
RR
New York(11/23/2010)
RR
North Carolina(12/1/2010)
RR
Puerto Rico(8/7/2001)
IAR
Puerto Rico(6/10/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
POPULAR SECURITIES, LLC
BP CAPITAL MARKETS, INC. | POPULAR SECURITIES, LLC | POPULAR SECURITIES, INC. | POPULAR ONE | FIRST BOSTON (PUERTO RICO), INC. | CS FIRST BOSTON (PUERTO RICO), INC.
CRD#: 8096 / SEC#: 801-57928, 8-24216
RIA
Registered Investment Advisory firm - SEC (9/29/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
PREMIUM
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Contact information
Main Address
208 Avenue Ponce De Leon Suite 1200, Hato Rey, PR 00918
Mailing Address
208 Avenue Ponce De Leon Popular Center Suite 1200, San Juan, PR 00918-1035
Phone number
(787) 766-4200
Established
Puerto Rico since 01/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
95
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.
