CRD #29753 · FINRA BrokerCheck + SEC IAPD

Oriental Financial Services LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Oriental Financial Services LLC ranks #634 of 20,055 by disclosure count (most disclosures first). Among firms registered in PR, it ranks #2 of 16 on the same disclosure sort used on the state browse page. Oriental Financial Services LLC carries 11 BrokerCheck disclosures across 6 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
6
branch offices
11
disclosures
#634 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 29753 Oriental Financial Services LLC

Oriental Financial Services LLC · Grade B · 11 disc · 1.83/office · Small firm

  • CRD 29753
  • GRADE B
  • DISC 11
  • REG 5
  • ARB 6
  • CIV 0
  • BRANCH 6
  • PER-OFF 1.83
  • RANK #634 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Dealerweb LLC (1.75 disc/office)

Dealerweb LLC1.75Monex Securities, Inc.1.75Puma Capital, LLC1.75Oriental Financial … (this)1.83
Disclosures per office among small firm peers (lower is cleaner)

Oriental Financial Services LLC ranks #634 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.83 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

6 offices

FINRA: Small firm

Total disclosures

11 events

On FINRA BrokerCheck

Regulatory events

5 actions

45% of all disclosures

Disclosures per office

1.83 per office

11 ÷ 6 offices

Oriental Financial Services LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

2 a cleaner per-office record than 16% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). This entry sits in this band. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 5
Arbitrations 6
Civil Events 0
Total 11

Counts for Oriental Financial Services LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 6 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
San Juan, PR
CRD Number
29753

Elevated disclosures per office

Oriental Financial Services LLC in the heavier-disclosure third

Oriental Financial Services LLC carries 11 BrokerCheck disclosures across 6 branch offices - a heavier-third raw book among graded firms (#634 of 20,055). Mix is 5 regulatory, 6 arbitration, and 0 civil (45% regulator share).

Oriental Financial Services LLC runs 1.83 disclosures per branch office (cleaner than only 84% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Oriental Financial Services LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Puerto Rico cohort · 5.18× state average

Oriental Financial Services LLC sits above the Puerto Rico disclosure average

Oriental Financial Services LLC reports 11 BrokerCheck disclosures, 5.18× the Puerto Rico average of 2.1 across 16 graded firms with a principal-office state on file.

In Puerto Rico, 11 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Puerto Rico state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Oriental Financial Services LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Oriental Financial Services LLC ranks #634 of 20,055 by disclosure count (most disclosures first). Among firms registered in PR, it ranks #2 of 16 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Oriental Financial Services LLC?
A grade of B reflects Oriental Financial Services LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 11 total disclosures across 6 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Oriental Financial Services LLC have?
Oriental Financial Services LLC has 11 total FINRA disclosures, including 5 regulatory events, 6 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Oriental Financial Services LLC?
Oriental Financial Services LLC operates 6 branch offices and is classified by FINRA as a small firm, registered in PR (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Oriental Financial Services LLC's disciplinary record?
You can verify Oriental Financial Services LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 29753. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Oriental Financial Services LLC's 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Oriental Financial Services LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Oriental Financial Services LLC carries 11 disclosures across 6 branch offices (about 1.83 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Oriental Financial Services LLC, both outside PR so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Similar disclosure totals

Nearest cross-state graded firms by BrokerCheck disclosure count (11 here).

Liquidnet, Inc. · NY 11 disc. Bulltick, LLC · FL 11 disc. Optiver US LLC · IL 11 disc. Money Concepts Capital Corp · FL 11 disc.

Read with this firm

  • Dealerweb LLC (NJ) - 1.75 disclosures/office, nearest small firm peer to Oriental Financial Services LLC's 1.83
  • Monex Securities, Inc. (TX) - 1.75 disclosures/office, nearest small firm peer to Oriental Financial Services LLC's 1.83
  • Puma Capital, LLC (NY) - 1.75 disclosures/office, nearest small firm peer to Oriental Financial Services LLC's 1.83
  • Firms in PR - state roster that includes Oriental Financial Services LLC's registration home.
  • Red Flags in Advisor Records - How to read Oriental Financial Services LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 11 disclosures behind Oriental Financial Services LLC's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Oriental Financial Services LLC.
  • Compare firms - put Oriental Financial Services LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.