AC
Alexis J. Crespo Perez
ORIENTAL FINANCIAL SERVICES LLC
SAN JUAN, PR 00918
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CRD#: 4971693
AC
Professional summary
Alexis J. Crespo Perez, who also goes by Alexis J. Crespo, is a registered financial advisor currently at ORIENTAL FINANCIAL SERVICES LLC located in San Juan, .
Alexis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Alexis has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alexis J. Crespo
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.
Insurance agent of Oriental Insurance LLC (OIN), OFS affiliate. Sales of life, fixed and variable annuities as part of the product offerings to clients for diversification. All commissions are known to OFS and same payout grid as other OFS products. One to two hours a week. Marketing material provided by OIN and insurance companies. Office of Commissioner of Insurance of PR issue the license in certificate and wallet format.
CRS (Client Relationship Summary) - RIA
Click below to view Alexis J. Crespo Perez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexis J. Crespo Perez'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®
NoneExperience
Current
May 6, 2021 - Present
ORIENTAL FINANCIAL SERVICES LLC
Office #1: 270 Munoz Rivera Ave Suite Mezzanine, San Juan, PR 00918Office #2: Las Vistas Shopping Village, Ave. Las Cumbres, San Juan, PR 00926RIA
BD
CRD#: 29753
SAN JUAN, PR
Current
June 27, 2005 - Present
ORIENTAL FINANCIAL SERVICES LLC
Office #1: 254 Munoz Rivera Ave 11th Floor, San Juan, PR 00918Office #2: Las Vistas Shopping Village, Ave. Las Cumbres, San Juan, PR 00926RIA
BD
CRD#: 29753
SAN JUAN, 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
Florida(4/2/2019)
RR
Georgia(11/23/2021)
RR
Ohio(5/15/2023)
RR
Puerto Rico(6/27/2005)
IAR
Puerto Rico(5/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
