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1221 Brickell Avenue Suite 2040, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-07-22 |
Branch Locations
1221 Brickell Avenue Suite 2040, Miami, FL 33131 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Efg Asset Management (Americas) Corp | Miami | FL | 03/2016 | 03/2017 |
| Efg Capital Advisors Llc | Miami | FL | 03/2016 | 03/2017 |
| Wells Fargo Clearing Services, Llc | Coral Gables | FL | 03/2017 | 05/2021 |
| Ucap Securities Llc | Miami | FL | 05/2021 | Present |
| Ucap Asset Management Llc | Miami | FL | 05/2021 | Present |
Susan is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Conflict of interests may take place when trades executed for advisory clients' portfolio being directed to UCAP Securities LLC. UCAP Asset Management, LLC Compliance Manual addresses this and other applicable potential conflicts of interests with respective policies and procedures in place. In general, IAR does not receive additional compensation for directing trades to the affiliated broker-dealer. Susan is an Investment Advisor Representative at UCAP Asset Management LLC (affiliate entity) Susan is owner of Sudis Advisors Inc., a company established in Florida. The company was created to receive her remuneration from UCAP Asset Management LLC. Sudis Advisors Inc. has no commercial activity, and the time Susan spends in this OBA is 3% or less. Susan is not actively engaged in any non-investment-related business or occupation for compensation.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-08-01 |
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