As of: 03/31/2017
GOVERNMENT OF PUERTO RICO
COMMISIONER OF FINANCIAL INSTITUTIONS
INVESTMENT ADVISORS REGISTERED AND LOCATED IN PUERTO RICO
NAME
LIC. NUM.
CONTACT
ADDRESS
NEXT
RENEWAL
DATE
CRD. #
TELEPHONE AND
FAX
AC Advisors, LLC
1097
Guillermo J. Hernández
315 Calle Camino Del Guama Dorado PR
00646
1/1/2018
282742
787-671-3659
Adsuar Muniz Goyco Seda & Pérez - Ochoa,
P.S.C.
0977
Nikos Buxeda
268 Munoz Rivera Ave. Suite 1400 San Juan
PR 00918
1/1/2018
168387
787-756-9000
AIF Capital Management, LLC
1123
James Alan Hofmockel
Metro Office Park, Valencia Building 17 Street
2, Suite 640 Guaynabo PR 00968
1/1/2018
283447
312-725-4338
Atlantis Investment Coaching, LLC
0764
Omar Pereira
251 Recinto Sur St. 3rd Floor, Suite 303 Old
San Juan PR 00901
1/1/2018
145416
787-721-7929
Atlas Asset Management LLC
1031
Paul Hopgood
Buchanan Office Center Suite 201 Rd. 165 No.
40 Guaynabo PR 00968
1/1/2018
173561
787-502-2918
ATON Financial LLC
1048
Marko Rendic
1590 Ponce de León Suite 206 San Juan PR
00926
1/1/2018
173070
787-459-1780
AXA Advisors, LLC
0417N
Edwin Soto Quinones
1290 Avenue of the Americas New York NY
10104
1/1/2018
6627
787-759-3333 212-3144600
Blue Ocean Strategic Advisors, LLC
0945
Emilio Vilella
Ochoa Building 500 De la Tanca Street, Suite
205 San Juan PR 00901
1/1/2018
165146
787-724-1379
Broxton Capital Advisors LLC
1089
Robert A. Cooke
1063 Galey Avenue 2nd Floor Los Angeles CA
90024
1/1/2018
136914
310-208-2191
Capitalia Advisors, LLC
1043
Roberto Olson
Ave. Palma Real #2 Suite 103 Guaynabo PR
00970
1/1/2018
173030
787-705-8694 787-7058188
Charles Schwab & Co., Inc.
0059N
Barbara Armeli
211 Main Street SF211MN-05-305 San
Francisco CA 94105
1/1/2018
5393
787-281-2295 415-6677000
Citigroup Global Markets Inc.
0958N
Dana L. Platt, John C. Gavin
390-388 Greenwich Street New York NY
10013-2396
1/1/2018
7059
212-816-6000 787-6226350
Consultiva Internacional, Inc.
0360N
Edmundo Garza, Myrna Rivera,
Sonia Vazquez
City View Plaza Tower 1, Suite 801 Guaynabo
PR 00968
1/1/2018
111846
787-763-5868
Laurie Ross
300 Beardsley Lane, Bldg. D Suite 200 Austin
TX 78746
1/1/2018
148703
512-402-0250 512-4020381
Erben Associates, LLC
1124
As of: 03/31/2017
GOVERNMENT OF PUERTO RICO
COMMISIONER OF FINANCIAL INSTITUTIONS
INVESTMENT ADVISORS REGISTERED AND LOCATED IN PUERTO RICO
NAME
LIC. NUM.
CONTACT
ADDRESS
NEXT
RENEWAL
DATE
CRD. #
TELEPHONE AND
FAX
ESI Advisors
1119
Julio Javier Cintrón
Urb. Terra Senorial Menorca St. 116 Ponce PR
00731
1/1/2018
283973
787-647-9843
Finanxial Investment Advisors, Corp.
0345
Fernando A. Navarro
1569 Alda Street Suite 303, Urb. Caribe San
Juan PR 00926
1/1/2018
N/A
787-758-8262
FORTALEZA CAPITAL PARTNERS, LLC
1105
David Millán
250 AVE. PONCE DE LEON CITY TOWERS,
SUITE 1003 SAN JUAN PR 00918
1/1/2018
234792
787-749-4770 787-6467360
Freedom Advisory, LLC
0800
Eduardo J. Ramos
Centro Internacional de Mercadeo Tower I
Suite 205 Guaynabo PR 00968
1/1/2018
147546
787-792-3000
Herbert J. Sims Capital Management, Inc.
1035
Richard A. Cumiskey Jr.
2150 Post Road Suite 301 Fairfield CT 06824
1/1/2018
134510
203-418-9000
Jackson Investment Management, LLC
0998
George P. Jackson
5 Avenue Muñoz Rivera Apt. 301, Laguna
Plaza San Juan PR 00901
1/1/2018
169736
787-709-4864
Lincoln Financial Securities Corporation
0047N
Jose E. Quinones
One Granite Place Concord NH 03301-3258
1/1/2018
3870
787-763-9936 484-5831027
1125
Joel Arberman
7722, KM 4.2 Interior Cayey PR 00736
1/1/2018
284529
516-299-9092 516-2999094
Melody Capital Management LLC
1128N
Terri Lecamp
El Caribe Office Building 53 Palmeras St., Suite
101 San Juan PR 00901
1/1/2018
167953
212-583-8660
Merchant Banking Advisors, Inc.
0358
John Richardson
253 San Sebastian St. Mezzanine Level, Old
San Juan San Juan PR 00901-1205
1/1/2018
N/A
787-630-4341
Maxim Partners LLC
MML Investors Services, LLC
0269N
Fernando F. Lopez
1295 State Street Springfield MA 01111-0001
1/1/2018
10409
787-758-2244 413-7447885
Oriental Financial Services Corp.
0369N
Sean W. Miles
997 San Roberto Street Oriental Group Tower,
9th Floor San Juan PR 00926
1/1/2018
29753
787-474-1993 787-9934288
Jose G. Diaz
Professional Offices Park 997 San Roberto
Street, 9th Floor San Juan PR 00926
1/1/2018
N/A
787-474-1993
Braulio Nieves
243 Carretera #2 Guaynabo PR 00966-1915
1/1/2018
146622
787-781-2555
Malén Goyco Butron
221 Ave. Ponce de León Suite 801 San Juan
PR 00918
1/1/2018
194513
787-200-9004
Diana King
644 Fernandez Juncos Avenue San Juan PR
00902
1/1/2018
160317
732-393-1600
Oriental Trust
Pariter Wealth Management Group LLC
Parliament Capital Management, LLC
Paskewitz Asset Management, LLC
0537
0784N
1050
1056N
As of: 03/31/2017
GOVERNMENT OF PUERTO RICO
COMMISIONER OF FINANCIAL INSTITUTIONS
INVESTMENT ADVISORS REGISTERED AND LOCATED IN PUERTO RICO
NAME
Popular Securities, LLC.
RIWM, LLC
San Juan Asset Management, Inc.
LIC. NUM.
CONTACT
ADDRESS
0377N
Rosa Colón Ortíz
208 Avenue Ponce De Leon Popular Center
Suite 1200 San Juan PR 00918-1035
1/1/2018
8096
1069
Arturo Rodríguez
150 Alhambra Circle Suite 1240 Coral Gables
FL 33134
1/1/2018
160536
305-347-8700
Yaribell Toledo
1519 Ponce De Leon Avenue First Bank
Building, Suite 1501 San Juan PR 00909-1724
1/1/2018
138046
787-721-2483
Peter Sigismondi
255 Ponce De Leon Avenue Suite 106 San
Juan PR 00918
1/1/2018
138997
787-759-8080
0657N
NEXT
RENEWAL
DATE
CRD. #
TELEPHONE AND
FAX
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
1/1/2018
109399
787-759-5378 787-7595340
Santander Securities LLC
0318N
Lawrence Carter
Edificio Santander #207 Ave Ponce de León,
Piso 4 San Juan PR 00917-1818
1/1/2018
41791
787-759-5330
Select Advisory Group Inc.
0829
Luis De Jesus
322 De Diego Ave. Suite 202 San Juan PR
00920
1/1/2018
150129
787-969-3939
SG3 Management, LLC
1140
Jaime Mercado
130 Dorado Beach East Dorado PR 00646
1/1/2018
285449
617-413-6840
Simpleivest, LLC
1158
Hermes Gustavo Conesa
Barrionuevo
Urb. Paseos Del Río Calle Portuguese #302
Caguas PR 00725
1/1/2018
283539
800-921-7102
Swan Global Management LLC
1032N
Jim Engelken
7 Ridgetop Palmas del Mar Humacao PR 00791
1/1/2018
173621
787-754-3999
The Applied Finance Group International, LLC
1075N
David D. Jones
1315 Ashford Avenue Apt. 203 San Juan PR
00907
1/1/2018
226755
559-577-0081
Transamerica Financial Advisors, Inc.
0584N
Shawn M Mihal
570 Carillon Parkway St. Petersburg FL 337161202
1/1/2018
16164
727-557-3736 727-2991800
Voya Financial Advisors, Inc.
0385N
Paul Heywood
909 Locust Street Des Moines IA 50309
1/1/2018
2882
1-800-356-2906 925-6487405
X-Square Capital, Inc.
0952N
Ignacio Canto
Popular Center Building 209 Muñoz Rivera,
Suite 1030 Hato Rey PR 00918
1/1/2018
167237
787-231-0694
Yale Capital Corp.
1036N
Cheyne Pace
Casa Bonito Business Center Carretera 693
Suite 102 Dorado PR 00646
1/1/2018
126992
939-292-7137
GRAND TOTAL:
45