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Luis Rosario

Oppenheimer & CO. INC.
23 Years of Experience
Fort Lauderdale, FL
21 DisclosuresBroker
View SEC Summary
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Luis Rosario is a registered investment advisor at Oppenheimer & CO. INC., based in Fort Lauderdale, FL, with 23 years of industry experience. Luis is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

100 South East 3rd Avenue, Suite 2100, Fort Lauderdale, FL, 33394

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History

Regulatory History (21)
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
May 2020
Settled
Customer Dispute
August 2019
Settled
Customer Dispute
July 2019
Settled
Customer Dispute
June 2019
Settled
Customer Dispute
November 2018
Settled
Customer Dispute
February 2018
Settled
Customer Dispute
October 2017
Settled
Customer Dispute
September 2017
Settled
Customer Dispute
May 2016
Settled
Customer Dispute
February 2016
Settled
Customer Dispute
November 2015
Settled
Customer Dispute
August 2015
Settled
Customer Dispute
July 2015
Settled
Customer Dispute
July 2015
Settled
Customer Dispute
June 2015
Settled
Customer Dispute
March 2015
Settled
Customer Dispute
August 2014
Settled
Customer Dispute
April 2014
Settled
Customer Dispute
March 2014
Settled
Customer Dispute
January 2014
Settled
Customer Dispute
January 2014
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
March 2018 - Present · 8 yrs 7 mos
Oppenheimer & CO. INC.Broker
June 2014 - Present · 12 yrs 4 mos
Previous Registrations
UBS Financial Services Incorporated of Puerto RicoBroker
February 2007 - July 2014 · 7 yrs 5 mos
UBS Financial Services INC.Broker
February 2007 - June 2014 · 7 yrs 4 mos
Popular Securities, INC.Broker
June 2003 - February 2007 · 3 yrs 8 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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