AP
Alejandro M. Pascual Navarro
ORIENTAL FINANCIAL SERVICES LLC
San Juan, PR 00907
Some features on this profile are disabled
CRD#: 4637744
AP
Professional summary
Alejandro Miguel Pascual Navarro, CFP®, who also goes by Alejandro Miguel Pascual, Alejandro Pascual, is a registered financial advisor currently at ORIENTAL FINANCIAL SERVICES LLC located in San Juan, .
Alejandro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Alejandro has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alejandro Miguel Pascual | Alejandro Pascual
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 Alejandro Miguel Pascual Navarro's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alejandro Miguel Pascual Navarro'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®
Experience
Current
August 24, 2021 - Present
ORIENTAL FINANCIAL SERVICES LLC
Office #1: Ave. Magdalena #1408, San Juan, PR 00907Office #2: Ave. Gonzalez Guisti Corner Ebano Street, Guaynabo, PR 00968Office #3: 270 Munoz Rivera Ave Suite Mezzanine, San Juan, PR 00918Office #4: Las Americas Avenue Corner Carretera #2, Ponce, PR 00731Office #5: Alejandrino Plaza Carr 838, Guaynabo, PR 00969Office #6: Las Vistas Shopping Village, Ave. Las Cumbres, San Juan, PR 00926Office #7: 254 Munoz Rivera Ave 2nd Floor Oriental Group Center, San Juan, PR, 00919RIA
BD
CRD#: 29753
San Juan, PR
Current
August 24, 2021 - Present
ORIENTAL FINANCIAL SERVICES LLC
Office #1: Ave. Magdalena #1408, San Juan, PR 00907Office #2: Ave. Gonzalez Guisti Corner Ebano Street, Guaynabo, PR 00968Office #3: Las Americas Avenue Corner Carretera #2, Ponce, PR 00731Office #4: 254 Munoz Rivera Ave 11th Floor, San Juan, PR 00918Office #5: Alejandrino Plaza Carr 838, Guaynabo, PR 00969Office #6: Las Vistas Shopping Village, Ave. Las Cumbres, San Juan, PR 00926Office #7: 254 Munoz Rivera Ave 2nd Floor Oriental Group Center, San Juan, PR, 00919RIA
BD
CRD#: 29753
San Juan, PR
Past
February 25, 2015 - August 17, 2021
UNIVERSAL FINANCIAL SERVICES INC.
BD
CRD#: 131558
SAN JUAN, PR
Past
September 2, 2010 - January 16, 2015
ORIENTAL FINANCIAL SERVICES LLC
BD
CRD#: 29753
SAN JUAN, PR
Past
April 30, 2003 - November 28, 2006
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
BD
CRD#: 13042
GUAYNABO, PR
Past
April 30, 2003 - November 28, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
GUAYNABO, 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.
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
District of Columbia(9/19/2022)
RR
Florida(9/19/2022)
RR
Ohio(5/12/2023)
RR
Puerto Rico(8/24/2021)
IAR
Puerto Rico(8/24/2021)
RR
Virginia(9/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
FINRA licenses (11 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OFG BANCORP | PARENT COMPANY , MEMBER | |
| FERNANDEZ MARTINEZ, JOSE RAFAEL | OPTIONS PRINCIPAL, AND DIRECTOR | 1556546 |
| KUMAR, GANESH | DIRECTOR | 6120016 |
| MUNOZ GALARZA, GLENDA L. | FINANCIAL AND OPERATIONS MANAGER | 5037917 |
| PASCUAL NAVARRO, ALEJANDRO MIGUEL | PRESIDENT & SALES MANAGER | 4637744 |
| SOUFFRONT, CARLOS O. ESQ. | DIRECTOR | 6272950 |
| TORRES, MARIELA | CHIEF COMPLIANCE OFFICER | 2735709 |
Regulatory assets under management
| Total Number of Accounts | 486 |
| AUM (Assets Under Management) | $ 360,606,482 |
Disclosures
| Regulatory Event | 5 |
| 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.
