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LUIS ALBERTO ROSARIO
LUIS ALBERTO ROSARIO RIVERA
CRD#: 4593449
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 100 SOUTH EAST 3RD AVENUE
SUITE 2100
FORT LAUDERDALE, FL 33394
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - 2014 (7 years)IAOPPENHEIMER & CO. INC. (CRD# 249)2018 - Present (6 years)BOPPENHEIMER & CO. INC. (CRD# 249)2014 - Present (10 years)BPOPULAR SECURITIES, INC. (CRD# 8096)2003 - 2007 (3 years)
Disclosure(s)
View By:
5/11/2020
Customer Dispute
Settled
8/23/2019
Customer Dispute
Settled
7/30/2019
Customer Dispute
Settled
6/18/2019
Customer Dispute
Settled
11/20/2018
Customer Dispute
Settled
2/14/2018
Customer Dispute
Settled
10/6/2017
Customer Dispute
Settled
9/26/2017
Customer Dispute
Settled
5/20/2016
Customer Dispute
Settled
2/18/2016
Customer Dispute
Settled
11/9/2015
Customer Dispute
Settled
8/27/2015
Customer Dispute
Settled
7/23/2015
Customer Dispute
Settled
7/22/2015
Customer Dispute
Settled
6/8/2015
Customer Dispute
Settled
3/13/2015
Customer Dispute
Settled
8/27/2014
Customer Dispute
Settled
4/30/2014
Customer Dispute
Settled
3/14/2014
Customer Dispute
Settled
1/21/2014
Customer Dispute
Settled
1/10/2014
Customer Dispute
Settled
License(s)

State Registrations

B
Florida 6/25/2014

B
Puerto Rico 7/23/2014

IA
Florida 3/5/2018

B
Texas 3/14/2024

B
New York 1/16/2019

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OPPENHEIMER & CO. INC. (CRD#:249)
100 SOUTH EAST 3RD AVENUE SUITE 2100, FORT LAUDERDALE, FL 33394
Registered with this firm since 3/5/2018

B
OPPENHEIMER & CO. INC. (CRD#:249)
100 SOUTH EAST 3RD AVENUE SUITE 2100, FORT LAUDERDALE, FL 33394
Registered with this firm since 6/24/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/08/2007 - 07/08/2014 UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (CRD#:13042) GUAYNABO, PR
B
02/08/2007 - 06/30/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) GUAYNABO, PR
B
06/24/2003 - 02/08/2007 POPULAR SECURITIES, INC. (CRD#:8096) SAN JUAN, PR
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B
Broker
IA
Investment Adviser
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.