Beatriz Rivera
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Beatriz Rivera, who also goes by Beatriz Rivera De Jesus, was a registered financial professional .
Beatriz is a previously registered financial professional and started their career in finance in 2012. Beatriz had worked at 2 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2015 - August 15, 2018
ORIENTAL FINANCIAL SERVICES LLC
October 19, 2012 - August 8, 2013
OFS SECURITIES, INC.
Primary Firm SEC Registration
ORIENTAL FINANCIAL SERVICES LLC
CRD#: 29753 / SEC#: 801-88203, 8-44516
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ORIENTAL FINANCIAL SERVICES LLC
CRD#: 29753 / SEC#: 801-88203, 8-44516
Contact information
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 |
| MUNOZ GALARZA, GLENDA L. | FINANCIAL AND OPERATIONS MANAGER | 5037917 |
| PASCUAL NAVARRO, ALEJANDRO MIGUEL | PRESIDENT & SALES MANAGER | 4637744 |
| RODRIGUEZ MIMOSO, MARI EVELYN | DIRECTOR | 8207563 |
| ROSADO, RAMON ARTURO | DIRECTOR | 2396515 |
| 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.
