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Carol Rivera-resto

Popular Securities, LLC

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About Carol Rivera-resto

Carol Rivera-resto is a registered representative with Popular Securities, LLC, and has been in the industry since December 2004. Carol has a strong background in financial services, having worked at Santander Securities prior to joining Popular Securities. Carol holds the Series 6, Series 7 and SIE licenses, and specializes in various investment products and services. Carol is dedicated to providing clients with personalized financial advice and guidance.

Firm Information

Carol Rivera-resto is currently registered with Popular Securities, LLC. Popular Securities, LLC, is a Limited Liability Company formed in 2014 that offers financial planning, pension consulting, educational seminars, portfolio management for businesses, individuals, and pooled investment vehicles, and selection of other advisors. The firm is registered in 36 states and the District of Columbia and has 91 registered representatives, 39 investment advisor representatives, and 41 investment advisory functions. Popular Securities, LLC, manages approximately $2.23 billion in regulatory assets under management.
Popular Securities, LLC

POPULAR CENTER, 208 PONCE DE LEON

HATO REY, PR 00918

$2.23B

Assets Under Management

33

Total Clients

88

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

12b-1 fees in money market product and referral fees

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Carol Rivera-resto’s Registration & Firm History

PR

12/07/2007 - Present

Popular Securities, LLC (SANTURCE PR)

MA

05/05/2003 - 05/02/2006

SANTANDER SECURITIES (BOSTON MA)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/18/2011

Series 7 - General Securities Representative Examination

BC

Issued 05/02/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carol Rivera-resto.
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