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Sergio Torres
20 Years of Experience
8 DisclosuresBrokerSells Insurance
Sergio Torres is a registered investment advisor at Oriental Financial Services LLC, based in San Juan, PR, with 20 years of industry experience. Sergio operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 486 clients with $360M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
12 advisors
IM Fee
Planning only
Assets Under Management
$360.6M
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Location
254 Munoz Rivera Ave, 11th Floor, San Juan, PR, 00918
Get directionsHistory
Regulatory History (8)
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Customer Dispute
January 2022Award / Judgment
Customer Dispute
January 2020Settled
Customer Dispute
September 2019Settled
Customer Dispute
September 2018Settled
Customer Dispute
January 2018Settled
Customer Dispute
December 2017Settled
Customer Dispute
July 2016Settled
Customer Dispute
July 2014Settled
Other Business ActivitiesSells Insurance
Sergio is an insurance agent of Oriental Insurance LLC, selling life, fixed, and variable annuities. This activity takes a few hours per week.
Employment History
Current Registrations
Oriental Financial Services LLC
February 2021 - Present · 5 yrs 2 mos
Oriental Financial Services LLCBroker
September 2005 - Present · 20 yrs 7 mos
State Registrations3 states
NJPRVirgin Islands
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.