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ORIENTAL FINANCIAL SERVICES LLC
ORIENTAL FINANCIAL SERVICES, ORIENTAL WEALTH MANAGEMENT, ORIENTAL FINANCIAL SERVICES LLC, ORIENTAL FINANCIAL SERVICES CORP.
CRD#: 29753/SEC#: 801-88203,8-44516
B
Brokerage Firm Regulated by FINRA (Florida district office)
IA
Investment Adviser FirmVisit SEC Site
MAIN ADDRESS
270 MUNOZ RIVERA AVE SUITE MEZZANINE
270 PLAZA
SAN JUAN, PR 00918 UNITED STATES
Disclosures
11 Total Disclosures
5Regulatory Event6Arbitration
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Main Office Location 270 MUNOZ RIVERA AVE SUITE MEZZANINE
270 PLAZA
SAN JUAN, PR 00918 UNITED STATES
Mailing Address P.O. BOX 195115
SAN JUAN, PR 00919-5115 UNITED STATES
Phone787-474-1993
Established inPuerto Rico since 12/30/2019
TypeLimited Liability Company
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
OFG BANCORP PARENT COMPANY , MEMBER
FERNANDEZ MARTINEZ, JOSE RAFAEL (CRD#:1556546) OPTIONS PRINCIPAL, AND DIRECTOR
KUMAR, GANESH (CRD#: 6120016) DIRECTOR
MUNOZ GALARZA, GLENDA L. (CRD#:5037917) FINANCIAL AND OPERATIONS MANAGER
PASCUAL NAVARRO, ALEJANDRO MIGUEL (CRD#:4637744) PRESIDENT & SALES MANAGER
SOUFFRONT, CARLOS O. ESQ. (CRD#: 6272950) DIRECTOR
TORRES, MARIELA (CRD#:2735709) CHIEF COMPLIANCE OFFICER
OFG BANCORP
PARENT COMPANY , MEMBER

OPTIONS PRINCIPAL, AND DIRECTOR

KUMAR, GANESH (CRD#: 6120016)
DIRECTOR

FINANCIAL AND OPERATIONS MANAGER


SOUFFRONT, CARLOS O. ESQ. (CRD#: 6272950)
DIRECTOR

CHIEF COMPLIANCE OFFICER

Licenses
11 U.S. States and Territories
B
District of Columbia

B
Florida

B
Georgia

B
Michigan

B
New Jersey

B
New York

B
Ohio

B
Puerto Rico

B
Texas

B
Virgin Islands

B
Virginia

Other Registrations
Federal
SEC

Self-Regulatory Organizations
FINRA
This firm conducts 19 types of business

This firm is affiliated with financial and investment institutions

This firm does not have referral or financial arrangements with other brokers or dealers
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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