Popular Securities, LLC

Registered investment adviser · Hato Rey, PR · CRD #8096

Form ADV data as of 2026-09-01

Regulatory assets

$2.62 billion

Total accounts

2,767

Employees

Disclosure events

Firm details

Website: http://www.popular.com
Telephone: 787-758-7400
SEC file number: 801-57928
Most recent Form ADV filing: 2026-03-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 5 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$2.14 billion
Non-discretionary regulatory assets under management	$476.4 million
Total regulatory assets under management	$2.62 billion
Discretionary accounts	2,468
Non-discretionary accounts	299
Total accounts	2,767
Regulatory assets under management attributable to non-U.S. persons	$27.1 million

People

Total employees (excluding clerical)	91
Employees performing investment advisory functions (including research)	45
Employees who are registered representatives of a broker-dealer	66
Employees registered as investment adviser representatives with a state	45
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	40
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$70.5 million
Clients for whom a related person has custody	36
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementOther

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Other investment adviser (including financial planners)Banking or thrift institutionTrust companyInsurance company or agencyPension consultant

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Recommends securities in which it has another proprietary interest
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	1,000	$226.9 million
High net worth individuals	376	$458.1 million
Pension and profit sharing plans (not the participants or government plans)	486	$436.3 million
Charitable organizations	3	$4.0 million
Corporations or other businesses not listed above	538	$1.50 billion