1. No category

As of:
5/31/2015
COMMISIONER OF FINANCIAL INSTITUTIONS
INVESTMENT ADVISORS REGISTERED AND LOCATED IN PUERTO RICO
NAME
LIC.
NUM.
CONTACT
ADDRESS
NEXT
RENEWAL
DATE
CRD. #
TELEPHONE AND
FAX
Adsuar Muniz Goyco Seda & Pérez - Ochoa,
P.S.C.
0977
Nikos Buxeda
268 Munoz Rivera Ave. Suite 1400 San Juan PR 00918
01/01/16
168387
787-756-9000
Atlantis Investment Coaching, LLC
0764
Omar Pereira
251 Recinto Sur St. 3rd Floor, Suite 303 Old San Juan PR
00901
01/01/16
145416
787-721-7929
Atlas Asset Management LLC
1031
Paul Hopgood
Buchanan Office Center Suite 201 Rd. 165 No. 40
Guaynabo PR 00968
01/01/16
173561
787-502-2918
ATON Financial LLC
1048
1590 Ponce de León Suite 205 San Juan PR 00926
01/01/16
173070
Edwin Soto Quinones
1290 Avenue of the Americas New York NY 10104
01/01/16
6627
Emilio Vilella
Ochoa Building 500 De la Tanca Street, Suite 205 San
Juan PR 00901
01/01/16
165146
787-724-1379
AXA Advisors, LLC
Blue Ocean Strategic Advisors, LLC
0417N
0945
787-759-3333 212-3144600
Blue Point Strategic Wealth Management,
LLC
1049NS
Michael Depol
115 West Century Road Suite 360 Paramus NJ 07652
01/01/16
166617
201-690-3035
Bond Street Management LLC
0935N
Juan Carlos Bou
City View Plaza 2, Suite 6000 48 Road 165 Guaynabo PR
00968
01/01/16
164864
787-993-9663
Ave. Palma Real #2 Suite 103 Guaynabo PR 00970
01/01/16
173030
787-705-8694 787-7058188
211 Main Street SF211MN-05-305 San Francisco CA
94105
01/01/16
5393
787-281-2295 415-6677000
212-816-6000 787-6226350
Capitalia Advisors, LLC
1043
Charles Schwab & Co., Inc.
0059N
Barbara Armeli
Citigroup Global Markets Inc.
0958N
Dana L. Platt, John C. Gavin 390-388 Greenwich Street New York NY 10013-2396
01/01/16
7059
Consultiva Internacional, Inc.
0360N
Edmundo Garza, Myrna
Rivera, Sonia Vazquez
City View Plaza Tower 1, Suite 801 Guaynabo PR 00968
01/01/16
111846
787-763-5868
Finanxial Investment Advisors, Corp.
0345
Fernando A. Navarro
1569 Alda Street Suite 303, Urb. Caribe San Juan PR
00926
01/01/16
787-758-8262
Franklin A. Rocafort
0325
Franklin A. Rocafort
Ave. F.D. Roosevelt Marginal Sur #114, Altos San Juan
PR 00918
01/01/16
787-771-0005
Freedom Advisory, LLC
0800
Eduardo J. Ramos
Centro Internacional de Mercadeo Tower I Suite 205
Guaynabo PR 00968
01/01/16
147546
787-792-3000
As of:
5/31/2015
COMMISIONER OF FINANCIAL INSTITUTIONS
INVESTMENT ADVISORS REGISTERED AND LOCATED IN PUERTO RICO
Herbert J. Sims Capital Management, Inc.
1035
Richard A. Cumiskey Jr.
2150 Post Road Fairfield CT 06824
01/01/16
134510
203-418-9000
Jackson Investment Management, LLC
0998
George P. Jackson
Plantation Village Building 1, Apt. 303 Dorado PR 00646
01/01/16
169736
787-709-4864
Lincoln Financial Securities Corporation
0047N
Jose E. Quinones
One Granite Place Concord NH 03301-3258
01/01/16
3870
0358
John Richardson
253 San Sebastian St. Mezzanine Level, Old San Juan San
Juan PR 00901-1205
01/01/16
Merchant Banking Advisors, Inc.
787-763-9936 484-5831027
787-630-4341
MML Investors Services, LLC
0269N
Fernando F. Lopez
1295 State Street Springfield MA 01111-0001
01/01/16
10409
787-758-2244 413-7447885
NFP Advisor Services, LLC
0576N
Sussane Denby
1250 S. Capital of Texas Hwy. Bldg. 2 Suite 125 Austin TX
78746
01/01/16
42046
787-722-7241 512-6976000
Oriental Financial Services Corp.
0369N
Sean W. Miles
997 San Roberto Street Oriental Group Tower, 9th Floor
San Juan PR 00926
01/01/16
29753
787-474-1993 787-9934288
Jose G. Diaz
Professional Offices Park 997 San Roberto Street, 9th
Floor San Juan PR 00926
01/01/16
Braulio Nieves
243 Carretera #2 Guaynabo PR 00966-1915
01/01/16
146622
787-781-2555
Malén Goyco Butron
221 Ave. Ponce de León Suite 801 San Juan PR 00918
01/01/16
194513
787-200-9004
732-393-1600
Oriental Trust
Pariter Wealth Management Group LLC
Parliament Capital Management, LLC
0537
0784N
1050
787-474-1993
Paskewitz Asset Management, LLC
1056N
Diana King
644 Fernandez Juncos Avenue San Juan PR 00902
01/01/16
160317
Popular Securities, LLC.
0377N
Rosa Colón Ortíz
208 Avenue Ponce De Leon Popular Center Suite 1200
San Juan PR 00918-1035
01/01/16
8096
San Juan Asset Management, Inc.
0657N
Yaribell Toledo
1519 Ponce De Leon Avenue First Bank Building, Suite
1501 San Juan PR 00909-1724
01/01/16
138046
787-721-2483
Peter Sigismondi
255 Ponce De Leon Avenue Suite 106 San Juan PR 00918
01/01/16
138997
787-759-8080
787-758-7400 787-7664200
San Juan Capital Partners, LLC
0668
Santander Asset Management
0319N
Omara Mendez
Santander Tower B-7 Tabonuco Street, Suite 1800
Guaynabo PR 00969
01/01/16
109399
787-759-5378 787759-5340
Santander Securities LLC
0318N
Lawrence Carter
Santander Tower B7 Tabonuco Street, Suite 1800
Guaynabo PR 00968-3028
01/01/16
41791
787-759-5330
Luis De Jesus
322 De Diego Ave. Suite 202 San Juan PR 00920
01/01/16
150129
787-969-3939
Select Advisory Group Inc.
0829
As of:
5/31/2015
COMMISIONER OF FINANCIAL INSTITUTIONS
INVESTMENT ADVISORS REGISTERED AND LOCATED IN PUERTO RICO
Swan Global Management LLC
1032N
Jim Engelken
7 Ridgetop Palmas del Mar Humacao PR 00791
01/01/16
173621
787-754-3999
The Applied Finance Group International,
LLC
1075N
David D. Jones
1315 Ashford Avenue Apt. 203 San Juan PR 00907
01/01/16
226755
559-577-0081
Transamerica Financial Advisors, Inc.
0584N
Shawn M Mihal
570 Carillon Parkway St. Petersburg FL 33716-1202
01/01/16
16164
727-557-3736 727-2991800
VAB Advisors, LLC
0884N
Thomas Civitano
352 Fernando Primero San Juan PR 00918
01/01/16
155204
787-302-1051
Valivian Advisors
0992N
Jeremy Griffiths
1511 Ave. Ponce De Leon San Juan PR 00909
01/01/16
156511
787-416-0190
Voya Financial Advisors, Inc.
0385N
Paul Heywood
909 Locust Street Des Moines IA 50309
01/01/16
2882
X-Square Capital, Inc.
0952N
Ignacio Canto
Popular Center Building 209 Muñoz Rivera, Suite 1030
Hato Rey PR 00918
01/01/16
167237
787-231-0694
Yale Capital Corp.
1036N
Cheyne Pace
Casa Bonito Business Center Carretera 693 Suite 102
Dorado PR 00646
01/01/16
126992
939-292-7137
GRAND TOTAL:
40
1-800-356-2906 925648-7405