Beatriz L Diaz Del Llano
Professional Summary
Beatriz L Diaz Del Llano, who also goes by Beatrice L Diaz, Beatriz L Diaz, is a registered financial advisor currently at POPULAR SECURITIES, LLC located in San Juan, undefined. Beatriz is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Beatriz has worked at 2 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Beatrice L Diaz, Beatriz L Diaz
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
BP CAPITAL MARKETS, INC. | POPULAR SECURITIES, LLC | POPULAR SECURITIES, INC. | POPULAR ONE | FIRST BOSTON (PUERTO RICO), INC. | CS FIRST BOSTON (PUERTO RICO), INC.
Contact Information
Main Address
208 Avenue Ponce De Leon Suite 1200, Hato Rey, PR 00918Mailing Address
208 Avenue Ponce De Leon Popular Center Suite 1200, San Juan, PR 00918-1035Phone Number
(787) 766-4200Established
Puerto Rico since 01/01/2014Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
91SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
FINRA licenses (37 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POPULAR, INC. | HOLDING COMPANY | — |
| CESTERO CASANOVA, LUIS ENRIQUE | ELECTED MANAGER | 7829616 |
| CINTRON ROSARIO, OLGA YARITZA | SALES MANAGER | 5055094 |
| COLON ORTIZ, ROSA ANGELA | SENIOR FINANCIAL COMPLIANCE MANAGER | 4202101 |
| COLON ORTIZ, ROSA ANGELA | CHIEF COMPLIANCE OFFICER | 4202101 |
| DIAZ DEL LLANO, BEATRIZ L | PRINCIPAL FINANCIAL OFFICER | 4576581 |
| GARCIA INCLAN, FRANCISCO ROBERTO | SUPERVISORY PRINCIPAL | 6900966 |
| GARCIA MUÑOZ, JORGE JOSE | ELECTED MANAGER | 7902856 |
| SORIANO CABRERA, LIDIO VALENTIN | ELECTED MANAGER | 2427629 |
| 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
2,767AUM (Assets Under Management)
$2,620,503,498Disclosures
Regulatory Event
6Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BP CAPITAL MARKETS, INC. | POPULAR SECURITIES, LLC | POPULAR SECURITIES, INC. | POPULAR ONE | FIRST BOSTON (PUERTO RICO), INC. | CS FIRST BOSTON (PUERTO RICO), INC.
State Registrations and Notice Filings
(6/28/2005)
(5/11/2017)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Beatriz L Diaz Del Llano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Beatriz L Diaz Del Llano's CRS (Customer Relationship Summary).
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