MD
Manuel E. Dox Millan
PARLIAMENT CAPITAL MANAGEMENT
San Juan, PR 00909
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CRD#: 5929978
MD
Professional summary
Manuel Enrique Dox Millan is a registered financial advisor currently at PARLIAMENT CAPITAL MANAGEMENT, LLC located in San Juan, .
Manuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Manuel has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
I am sole member and president of Hacienda Mireia, LLC, a non-investment-related limited liability company organized and existing under the laws of the Commonwealth of Puerto Rico. The physical address of the business is Bo. Rio Prieto Carr 374 km 6.0, Sector Carrizales, Yauco, PR 00698. My position is that of President, and I am the sole member of the LLC. I began the operation in June of 2017. Approximate number of hours devoted to the business range in the 8-16 hours a month, consisting of some weekend days. The nature of the business is coffee farming. My duties as President include, establishing the general strategy of the operation, and overseeing that the operation runs appropriately as day to day operations are handled by a key employee in the farm.
CRS (Client Relationship Summary) - RIA
Click below to view Manuel Enrique Dox Millan'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
April 1, 2022 - Present
PARLIAMENT CAPITAL MANAGEMENT, LLC
Office #1: 1511 Ponce De Leon Ave. Ciudadela- Torre 1000, Suite 6a, San Juan, PR 00909RIA
CRD#: 194513
San Juan, PR
Past
October 29, 2014 - June 6, 2017
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
August 8, 2012 - October 2, 2014
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
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".
PC
PARLIAMENT CAPITAL MANAGEMENT, LLC
PARLIAMENT CAPITAL MANAGEMENT, LLC
CRD#: 194513 / SEC#: 801-121818
RIA
Registered Investment Advisory firm - (7/22/2021 Approved)Puerto Rico
Registered Investment Advisory firm - (7/22/2021 Terminated)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.Highlighted states indicate IAR registrations
IAR
Puerto Rico(4/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PC
PARLIAMENT CAPITAL MANAGEMENT, LLC
PARLIAMENT CAPITAL MANAGEMENT, LLC
CRD#: 194513 / SEC#: 801-121818
RIA
Registered Investment Advisory firm - (7/22/2021 Approved)Puerto Rico
Registered Investment Advisory firm - (7/22/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1511 Ponce De Leon Ave. Ciudadela- Torre 1000, Suite 6a, San Juan, PR 00909
Mailing Address
P.o. Box 190521, San Juan, PR 00918-9998
Phone number
(787) 200-9004
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 317 |
| AUM (Assets Under Management) | $ 994,354,491 |
Red Flags
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