Carlos A. Vina-toro
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.
Carlos Andres Vina-toro, who also goes by Carlos A VIña, Carlos Andres Viña-toro, Carlos Vina, Carlos Vina-toro, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2018. Carlos had worked at 1 firm and has passed the Series 6TO, Series 7TO, SIE, Series 6, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2018 - November 11, 2020
ORIENTAL FINANCIAL SERVICES LLC
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
Series 6TO
Date: 3/28/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/15/2020
General Securities Representative ExaminationCurrent 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 |
| 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
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