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Alexis Perez

Oriental Financial Services LLC
21 Years of Experience
San Juan, PR
17 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Alexis Perez is a registered investment advisor at Oriental Financial Services LLC, based in San Juan, PR, with 21 years of industry experience. Alexis is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 468 clients with $420M in assets under management.

Oriental Financial Services LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
12 advisors
IM Fee
Planning only
Assets Under Management
$419.6M

Location

Las Vistas Shopping Village,, Ave. Las Cumbres, San Juan, PR, 00926

Get directions

History

Regulatory History (17)
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
February 2024
Settled
Customer Dispute
October 2023
Withdrawn
Customer Dispute
August 2019
Settled
Customer Dispute
June 2019
Settled
Customer Dispute
April 2019
Award / Judgment
Customer Dispute
November 2018
Settled
Customer Dispute
June 2018
Settled
Customer Dispute
April 2018
Settled
Customer Dispute
February 2018
Settled
Customer Dispute
January 2018
Settled
Customer Dispute
September 2017
Settled
Customer Dispute
July 2017
Settled
Customer Dispute
October 2016
Settled
Customer Dispute
February 2016
Closed-No Action
Customer Dispute
October 2015
Settled
Customer Dispute
December 2014
Settled
Customer Dispute
April 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Alexis is an insurance agent of Oriental Insurance LLC, selling life, fixed, and variable annuities to clients for diversification. This activity takes a few hours per week.

Employment History
Current Registrations
Oriental Financial Services LLC
May 2021 - Present · 5 yrs 5 mos
Oriental Financial Services LLCBroker
June 2005 - Present · 21 yrs 4 mos
State Registrations5 states
FLGAOHPRVA
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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