JR
JR

Jose Rios

25 Years of Experience
Hato Rey, PR
5 DisclosuresBroker

Jose Rios is a registered investment advisor, based in Hato Rey, PR, with 25 years of industry experience.

Location

31 Calaf Street, Hato Rey, PR, 00918

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History

Regulatory History (5)
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 2020
Settled
Financial
December 2019
Final
Customer Dispute
September 2019
Settled
Customer Dispute
November 2014
Settled
Customer Dispute
February 2014
Award / Judgment
Other Business Activities

Jose provides golf lessons, participates in tournaments, and sells golf products. This takes about 10-20% of his time, primarily on weekends.

Employment History
Current Registrations
Nationwide Planning Associates INC.Broker
January 2021 - Present · 5 yrs 4 mos
Npa Asset Management, LLC
January 2021 - Present · 5 yrs 4 mos
Previous Registrations
Popular Securities, LLC
June 2013 - January 2021 · 7 yrs 7 mos
Popular Securities, INC.
August 2011 - February 2012 · 6 mos
Popular Securities, LLCBroker
November 2010 - January 2021 · 10 yrs 2 mos
Wells Fargo Advisors, LLC
April 2008 - November 2010 · 2 yrs 7 mos
Wachovia Securities, LLC
March 2007 - March 2007 · 0 mos
Wells Fargo Advisors, LLCBroker
March 2007 - November 2010 · 3 yrs 8 mos
UBS Financial Services INC.Broker
July 2000 - April 2007 · 6 yrs 9 mos
UBS Financial Services Incorporated of Puerto RicoBroker
July 2000 - April 2007 · 6 yrs 9 mos
State Registrations4 states
FLPRSCTX
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.
Jose Rios - Financial Advisor | TrueAdvisor