Braulio L. Nieves Roman

PARITER WEALTH MANAGEMENT GROUP LLC

Guaynabo, PR 00966-1915

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CRD#: 4314517

Professional summary

Braulio Luis Nieves Roman, who also goes by Braulio Luis Nieves, Braulio Nieves, Braulio Roman, is a registered financial advisor currently at PARITER WEALTH MANAGEMENT GROUP LLC located in Guaynabo, and PARITER SECURITIES, LLC located in Guaynabo, .

Braulio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Braulio has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Braulio Luis Nieves | Braulio Nieves | Braulio Roman

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) BNR Capital LLC, Guaynabo, PR; Securities related; Start Date; 04/2019; Time Spent: 5-10 hours; Duties: Provide Financial and Consulting Services. (2) Insurance Broker, Property and Casualty Insurance (3) SB Properties, San Juan, PR; Start Date: 08-2021: Time spent; 5-10(monthly); Duties: Real Estate Acquisitions and Management (4) Rin-Red International De Negocios, San Juan, PR; not securities related; Start Date: 11/2021; Position: Administrator; Time spent: 5 - 10 hours; (5) NP-Camara de Comercio de PR, San Juan, PR: not securities related; Start Date: 08/2022; Time spent: 5 hours; Title: Director; non profit, monthly meetings with other members.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Braulio Luis Nieves Roman'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®

None

Experience

Current

January 22, 2016 - Present

PARITER WEALTH MANAGEMENT GROUP LLC

Office #1: 243 Carretera #2, Guaynabo, PR 00966-1915

RIA

CRD#: 146622

Guaynabo, PR

Current

October 20, 2008 - Present

PARITER SECURITIES, LLC

Office #1: 243 Carretera #2, Guaynabo, PR 00966Office #2: 243 Carretera #2, Guaynabo, PR 00966

CRD#: 127836

Guaynabo, PR

Past

January 15, 2015 - December 31, 2015

PARITER WEALTH MANAGEMENT GROUP LLC

RIA

CRD#: 146622

GUAYNABO, PR

Past

August 13, 2009 - December 31, 2014

PARITER WEALTH MANAGEMENT GROUP LLC

RIA

CRD#: 146622

GUAYNABO, PR

Past

February 8, 2001 - September 2, 2009

SIGNATOR INVESTORS, INC.

CRD#: 468

GUAYNABO, PR

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.

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

California
(10/18/2019)

Florida
(9/3/2009)

Massachusetts
(6/25/2009)

Pennsylvania
(7/29/2019)

Puerto Rico
(12/19/2008)

IAR

Puerto Rico
(1/22/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/29/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/9/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/5/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PARITER WEALTH MANAGEMENT GROUP LLC

CRD#: 146622 / SEC#: 801-69079

RIA

Registered Investment Advisory firm - (8/6/2019 Terminated)

Maryland

Registered Investment Advisory firm - (4/3/2012 Terminated)

Puerto Rico

Registered Investment Advisory firm - (7/15/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

243 Carretera #2, Guaynabo, PR 00966-1915

Mailing Address

P.o. Box 11852, San Juan, PR 00922-1852

Phone number

(787) 781-2555

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 16,280,187

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.

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Braulio L. Nieves Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Braulio Luis Nieves Roman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARITER SECURITIES, LLC

PARITER WEALTH MANAGEMENT GROUP LLC

PARITER WEALTH MANAGEMENT GROUP LLC

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2005

Series 63

Date: 8/20/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/9/2004

Series 6

Date: 2/5/2001

Series 24

Date: 12/15/2007

FINRA

Current Firm

PARITER WEALTH MANAGEMENT GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PARITER WEALTH MANAGEMENT GROUP LLC

TRUST BUT VERIFY

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