Luis Currais Lopez

FSAM LLC

GUAYNABO, PR 00968

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CRD#: 856211

Professional summary

Luis Currais Lopez, who also goes by Luis Currais, is a registered financial advisor currently at FSAM LLC located in Guaynabo, and FIRST SOUTHERN, LLC located in Guaynabo, .

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Luis has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luis Currais

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.

Luis Currais is an investment adviser representative of HJ Sims Capital Management ("HJSCM"), a CT registered investment advisor and wholly owned subsidiary of HJ Sims Co., Inc. HJSCM primarily provides customized investment management services to high-net-worth individuals and associated trusts, estates, pension and profit-sharing plans, and other legal entities. Luis Currais began his association with HJSCM in 2016 and devotes approximately 30% of his time to HJSCM; however, Mr. Currais' primary business is providing brokerage services through the broker-dealer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Currais Lopez's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 30, 2022 - Present

FSAM LLC

Office #1: Gam Tower 2 Tabonuco Street, Suite 200, Guaynabo, PR 00968

RIA

CRD#: 287851

GUAYNABO, PR

Current

November 22, 2022 - Present

FIRST SOUTHERN, LLC

Office #1: Gam Tower 2 Tabonuco Street, Suite 200, Guaynabo, PR 00968

CRD#: 282756

Guaynabo, PR

Past

November 22, 2022 - November 28, 2022

FSAM LLC

RIA

CRD#: 287851

ALPHARETTA, GA

Past

September 16, 2016 - November 21, 2022

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

RIA

CRD#: 134510

Guaynabo, PR

Past

March 18, 2016 - November 21, 2022

HERBERT J. SIMS & CO, INC.

CRD#: 3420

GUAYNABO, PR

Past

March 23, 2010 - February 17, 2016

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

BOSTON, MA

Past

September 18, 2006 - February 17, 2016

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

February 7, 1991 - September 25, 2006

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

HATO REY, PR

Past

August 18, 1982 - September 25, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN JUAN, PR

Past

November 21, 1980 - September 7, 1982

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 31, 1980 - November 28, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

August 25, 1978 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

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".

FSAM LLC

FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC

CRD#: 287851 / SEC#: 801-122054

RIA

Registered Investment Advisory firm - (8/12/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (3/30/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(11/22/2022)

Florida
(11/22/2022)

New York
(11/22/2022)

Puerto Rico
(11/30/2022)

IAR

Puerto Rico
(11/30/2022)

Virginia
(12/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/5/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/16/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/1978

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FSAM LLC

FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC

CRD#: 287851 / SEC#: 801-122054

RIA

Registered Investment Advisory firm - (8/12/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (3/30/2022 Terminated)

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Contact information

Main Address

1720 Windward Concourse Suite 115, Alpharetta, GA 30005

Mailing Address

Phone number

(770) 777-9373

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FSAM, LLC PART 2A FIRM BROCHURE (10/15/2025)

FSAM LLC WRAP FEE BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 112,853,411

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.

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Firm Stability Insights

Luis Currais Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Currais Lopez's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST SOUTHERN, LLC

FSAM LLC

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

HERBERT J. SIMS & CO, INC.

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

Primary Firm SEC Registration

FSAM LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/1996

Series 63

Date: 1/16/1988

SIE

Date: 10/1/2018

Series 7

Date: 8/19/1978

FINRA

Current Firm

FSAM LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FSAM LLC

TRUST BUT VERIFY

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