Roberto Javier Santos Carro

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2010 → 02/2020
  Oriental Financial Services Corp
  San Juan, PR
• 02/2020 → 04/2024
  Herbert J. Sims & Co, Inc
  Road 165, Km 1.2, #48, Ste 215, PR
• 03/2024 → 08/2024
  Pelegrina Ugobono Wealth Management
  Guaynabo, PR
• 03/2024 → Present
  Raymond James Financial Services, Inc.
  Guaynabo, PR
• 03/2024 → Present
  Raymond James Financial Services Advisors, Inc.
  Guaynabo, PR

Previous Registrations

• 2020-02-18 → 2024-04-12
  Herbert J. Sims Capital Management, Inc.
  Guaynabo, PR
• 2018-12-12 → 2020-02-25
  Oriental Financial Services Llc
  San Juan, PR

Other Businesses

(1)Name of Business: SJ Advisors Address: B7 Calle Tabonuco Ste 806, Guaynabo, PR, 00968-3360, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor, Other Investment Related: No Start Date: 08/15/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: FA/IA. DBA for my RJ Financial Services

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-12-11
• S63 Uniform Securities Agent State Law Examination
  2018-07-23

Other Names

• Roberto J Santos
• Roberto J Santos Carro