Broker-dealer firm · Hato REY, PR
Popular Securities, LLC
SEC-registered investment adviser · CRD 8096 · SEC 801-57928
At a glance
Popular Securities, LLC is an SEC-registered investment adviser based in Hato REY, PR, with $2.6 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is corporations or other businesses, and it reports 1,376 individual clients. By Form ADV it is a broker-dealer firm, ranked 118th of 391 broker-dealer firms and 3,086th of 17,210 SEC-registered advisers by assets.
Main office 787-758-7400popular.comAs filed on Form ADV
- Regulatory AUM
- $2.6B
- Rank among broker-dealer firms
- #118 of 391
- Rank among all SEC RIAs
- #3,086 of 17,210
- Rank in PR
- #4 of 49
- Individual clients
- 1,376
- High-net-worth clients
- 376
- Accounts
- 2,767
- Discretionary
- 82% of AUM
- Employees
- 91
- Advisory staff
- 45
- Offices
- 9
Owners and executives on its Form ADV
- Beatriz L Diaz Del LlanoPrincipal Financial Officer
- Jose Joaquin Torres RamosPrincipal Operations Officer
- Francisco Roberto Garcia InclanChief Compliance Officer
- Jaime Antonio Toro LavergnePresident and Elected Manager
- Rosa Angela Colon OrtizSenior Financial Compliance Manager
- Javier David FerrerElected Manager
- Elsie M Torres OlmoBranch Manager
- Luis Enrique Cestero CasanovaElected Manager
- Jorge Jose Garcia Mu?ozElected Manager
- Olga Yaritza Cintron RosarioSales Manager
Custody and brokerage
Broker-dealer
Hybrid RIA
Popular Securities, LLC is a hybrid RIA: 66 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Popular Securities as the broker-dealer its advisers are registered with.
Popular Securities, LLC Form ADV Part 2A Page 19 Registered representatives of Popular Securities may also be insurance agents for Popular Insurance or Popular Risk Services, respectively.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Corporations or other businesses | 538 | $1.5B | 57% |
| High-net-worth individuals | 376 | $458M | 17% |
| Pension and profit sharing plans | 486 | $436M | 17% |
| Individuals | 1,000 | $227M | 9% |
| Charitable organizations | 3 | $4M | <1% |
Disciplinary disclosures
Popular Securities, LLC answers yes to 5 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗popular.com ↗
AtlasMembers
The full record on Popular Securities, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 93 peers of its type and size
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- Owners and executives, with titles and stakes
- 10 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Popular Securities, LLC manage?
Popular Securities, LLC reports $2.6 billion in regulatory assets under management across 2,767 accounts, 82% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Popular Securities, LLC?
Popular Securities, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Popular Securities, LLC’s clients?
By assets, its largest client types are corporations or other businesses ($1.5 billion, 538 clients); high-net-worth individuals ($458 million, 376 clients); pension and profit sharing plans ($436 million, 486 clients).
Does Popular Securities, LLC have any disciplinary history?
Popular Securities, LLC answers yes to 5 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Popular Securities, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →