MM
Miriam L. Mitchell
POPULAR SECURITIES
San Juan, PR 00918
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CRD#: 5788202
MM
Professional summary
Miriam Lucy Mitchell is a registered financial professional currently at POPULAR SECURITIES, LLC located in San Juan, .
Miriam is registered as a RR (Registered Representative) and started their career in finance in 2010. Miriam has worked at 4 firms and has passed the Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) - BD
Click below to view Miriam Lucy Mitchell'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
July 31, 2024 - Present
POPULAR SECURITIES, LLC
Office #1: 208 Ponce De Leon Ave Popular Center Suite 1200, San Juan, PR 00918RIA
BD
CRD#: 8096
San Juan, PR
Past
January 18, 2023 - February 10, 2023
GAMMA SECURITIES, LLC
BD
CRD#: 298341
SAN JUAN, PR
Past
April 15, 2021 - January 6, 2023
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 27, 2012 - August 19, 2022
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 17053
SAN JUAN, PR
Past
May 20, 2010 - February 22, 2012
POPULAR SECURITIES, LLC
BD
CRD#: 8096
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".
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.
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
Puerto Rico(7/31/2024)
Exams
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
POPULAR SECURITIES, LLC
CRD#: 8096San Juan, PR 00918TRUST BUT VERIFY
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