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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-01-31
TX RA APPROVED_RES 2016-12-12
  • FL RA
    APPROVED
    Since 2017-01-31
  • TX RA
    APPROVED_RES
    Since 2016-12-12

Branch Locations

15 2Nd St / 15 Calle 2, Guaynabo, PR 00968 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Santander Securities San Juan PR 04/2000 12/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Guaynabo PR 12/2016 Present
Bank Of America, N.A. Guaynabo PR 02/2017 Present
Previous Registrations
  • 2010-03-23 → 2016-12-08
    San Juan, PR
    Mayaquez, PR
    Arecibo, PR
    San Sebastian, PR
    Guaynabo, PR
    Caguas, PR
Other Businesses

I*422815For profit or not for profit: Entity For ProfitName of outside business organization: Toperbee CorporationInvestment related: NAddress of business: Caguas, PRNature of business: ["Corporation"]Position, title, association: ["Officer"], Start date of relationship: 12/1/2021Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I will not have a direct management role in the day to day operations of the business. I will have some responsibility dealing with financials, contracts and lease negotiations. I*3860275Entity Type: N/AName of OBA: J RETIREMENT PLAN J RETIREMENT PLAN U/A 03/19/2018Address: San Juan, PRInvestment Related: NoPosition, Title, Association: Co-TrusteeEmployee Start Date: 03/02/2026Number of Hours: 0, WeeklyNumber of Hours during trading: 0, WeeklyDuties: Spouse I*4232274, Entity Type: Entity For Profit, Name of OBA: CONTINUA LLC , Address: San Juan, PR, 00907, Investment Related: N, Position, Title, Association: Officer, Employee Start Date: 04/30/2026, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I will manage investments within Continua LLC as if it where in my personal name as it is a pass thru entity and is being created as an inheritance tax planning vehicle for our family by me and my spouce. Continua LLC is a tax planning family vehicle.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-24
S63 Uniform Securities Agent State Law Examination 1997-09-02
  • S66 Uniform Combined State Law Examination
    2007-09-24
  • S63 Uniform Securities Agent State Law Examination
    1997-09-02
Other Names
  • Jose Iguina Hernandez
  • Jose Miguel Iguina
  • Jose Miguel Iguina

View on SEC IAPD

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