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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Regulatory History (5)
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Customer Dispute
January 2020Settled
Financial
December 2019Final
Customer Dispute
September 2019Settled
Customer Dispute
November 2014Settled
Customer Dispute
February 2014Award / 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.