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Senior Financial Compliance Manager · Popular Securities, LLC

Rosa Angela Colon Ortiz

CRD 4202101 · Named on Form ADV at one SEC-registered adviser

At a glance

Popular Securities, LLC, an SEC-registered broker-dealer firm based in Hato REY, PR with $2.6 billion in regulatory assets, lists Rosa Angela Colon Ortiz on its Form ADV as Senior Financial Compliance Manager, a control person.

Firms and roles

  • Popular Securities, LLCSenior Financial Compliance ManagerBroker-dealer firm · Hato REY, PR · $2.6B in regulatory assets

AtlasMembers

Rosa’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (9)

4 more people named with Rosa on the same filings, with titles and firms. Free in Atlas with a free account.

See all 9 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Rosa’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.