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Raquel Chavez

Popular Securities, LLC
43 Years of Experience
San Juan, PR
9 DisclosuresBroker
View SEC Summary
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Raquel Chavez is a registered investment advisor at Popular Securities, LLC, based in San Juan, PR, with 43 years of industry experience. Raquel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 2,403 clients with $2.6B in assets under management.

Popular Securities, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
58 advisors
Number of Clients
2,403 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$2.6B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)

Popular Securities charges an annual fee for managing your investment portfolio, which has a cap of 2.50% of your total assets in the FMAX Program or 1.10% for the Fixed Income Program. The total fee is negotiated on a case-by-case basis and can be calculated using either a tiered fee schedule (where the rate decreases as your portfolio value increases) or a single flat fee rate applied to all assets.

This fee covers services from Popular Securities, the platform sponsor, and the investment managers, but it does not cover third-party fund expenses, certain trading costs, or custodial fees.

View Full SEC Brochure

Location

208 Ponce de Leon Ave, POPULAR CENTER Suite 1200, San Juan, PR, 00918

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History

Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2006
Denied
Customer Dispute
December 2004
Settled
Customer Dispute
January 2004
Denied
Customer Dispute
March 2003
Denied
Customer Dispute
August 2002
Settled
Customer Dispute
June 2001
Withdrawn
Customer Dispute
January 2001
Denied
Customer Dispute
February 1995
Settled
Customer Dispute
January 1990
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Raquel is the sole member/owner of Y Entonces LLC, which is her main residence. She also owns Y Entonces Pica Gonzalez-Chavez LLC for personal investment accounts, dedicating minimal time to both activities.

Employment History
Current Registrations
Popular Securities, LLC
August 2011 - Present · 15 yrs 2 mos
Popular Securities, LLCBroker
December 2007 - Present · 18 yrs 10 mos
Previous Registrations
Citigroup Global Markets INC.Broker
July 1993 - December 2007 · 14 yrs 5 mos
Lehman Brothers INC.Broker
September 1988 - July 1993 · 4 yrs 10 mos
Drexel Burnham Lambert IncorporatedBroker
May 1985 - September 1988 · 3 yrs 4 mos
Kidder, Peabody & CO. IncorporatedBroker
June 1983 - May 1985 · 1 yr 11 mos
State Registrations8 states
FLINNYPAPRSCTXVirgin Islands
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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