Dennis Domingo Cummings Perez

Popular Securities, LLC

28 Years of Experience

18 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & CoachingRetirement PlanningEducation Planning

Popular Securities, LLC

Compensation

Fee-Only (AUM)

Firm Size

56 advisors

Number of Clients

2,120 clients

Average Client Portfolio

$1.1M average

Assets Under Management

$2.3B

Fee Structure

Minimum Investment:$50K

Location

Calle Suau #1, Mayaguez, PR, 00680

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History

Regulatory History (18)

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.

Regulatory

June 2021

Final

Customer Dispute

September 2018

Settled

Customer Dispute

April 2018

Settled

Customer Dispute

February 2018

Settled

Customer Dispute

December 2017

Settled

Customer Dispute

October 2017

Settled

Customer Dispute

November 2014

Settled

Customer Dispute

September 2014

Settled

Customer Dispute

June 2014

Settled

Customer Dispute

April 2014

Settled

Customer Dispute

January 2012

Settled

Customer Dispute

July 2011

Closed-No Action

Customer Dispute

March 2011

Closed-No Action

Customer Dispute

March 2010

Closed-No Action

Customer Dispute

November 2009

Settled

Customer Dispute

July 2009

Closed-No Action

Customer Dispute

April 2009

Settled

Customer Dispute

September 2007

Settled

View Full SEC Report How to Read Disclosures

Other Business Activities

Dennis is a director board member and finance consultant for Asociacion Residentes Paseo Los Robles, a non-profit organization, dedicating a few hours per week. He is also the President of D Cummings, LLC, an inheritance asset protection business, dedicating minimal time.