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SERGIO ANDRÉS MOURE TORRES
SERGIO ANDRÉS MOURE
CRD#: 4829488
IA
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ORIENTAL FINANCIAL SERVICES LLCCRD#: 29753 270 MUNOZ RIVERA AVE
SUITE MEZZANINE
SAN JUAN, PR 00918
SUITE MEZZANINE
SAN JUAN, PR 00918
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1/27/2022
Customer Dispute
Award / Judgment
1/17/2020
Customer Dispute
Settled
9/4/2019
Customer Dispute
Settled
9/28/2018
Customer Dispute
Settled
1/19/2018
Customer Dispute
Settled
12/4/2017
Customer Dispute
Settled
7/11/2016
Customer Dispute
Settled
7/30/2014
Customer Dispute
Settled
State Registrations
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New Jersey 1/29/2014
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Puerto Rico 2/10/2021
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Puerto Rico 9/21/2005
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Virgin Islands 11/19/2021
SRO Registrations
B
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Registered with this firm since 2/10/2021
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Registered with this firm since 9/21/2005
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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.
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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.
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.