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JE
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Jose Esteves

Popular Securities, LLC
38 Years of Experience
San Juan, PR
19 DisclosuresBroker
View SEC Summary
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Jose Esteves is a registered investment advisor at Popular Securities, LLC, based in San Juan, PR, with 38 years of industry experience. Jose 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 (19)
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
October 2020
Settled
Customer Dispute
August 2019
Settled
Customer Dispute
January 2019
Settled
Customer Dispute
December 2018
Settled
Customer Dispute
November 2018
Settled
Customer Dispute
August 2018
Settled
Customer Dispute
June 2018
Settled
Customer Dispute
March 2018
Settled
Customer Dispute
October 2017
Settled
Customer Dispute
August 2017
Settled
Customer Dispute
July 2017
Settled
Customer Dispute
May 2017
Settled
Customer Dispute
March 2016
Settled
Customer Dispute
February 2016
Settled
Customer Dispute
January 2016
Settled
Customer Dispute
August 2015
Settled
Customer Dispute
March 2015
Withdrawn
Customer Dispute
September 2014
Award / Judgment
Customer Dispute
August 2014
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Popular Securities, LLC
June 2013 - Present · 13 yrs 4 mos
Popular Securities, LLCBroker
January 2008 - Present · 18 yrs 9 mos
Previous Registrations
Popular Securities, INC.
August 2011 - January 2012 · 5 mos
Santander SecuritiesBroker
January 1997 - January 2008 · 11 yrs
Smith Barney INC.Broker
July 1993 - January 1997 · 3 yrs 6 mos
Lehman Brothers INC.Broker
May 1989 - July 1993 · 4 yrs 2 mos
Drexel Burnham Lambert IncorporatedBroker
January 1988 - June 1989 · 1 yr 5 mos
State Registrations4 states
FLNYPRTX
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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