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Current Employers
Ocean Financial Advisors Llc

780 Nw 42Nd Avenue Suite 500, Miami, FL 33126 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-01
  • FL RA
    APPROVED
    Since 2025-01-01

Branch Locations

780 Nw 42Nd Avenue Suite 500, Miami, FL 33126 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Efg Capital International Inc Miami FL 07/2009 04/2018
Efg Capital Advisors Inc Miami FL 08/2016 04/2018
Ocean Financial Services Llc Miami FL 04/2018 12/2020
Ocean Financial Advisors Llc Miami FL 05/2019 07/2020
Ocean Financial Advisors Llc Miami FL 07/2020 Present
Ocean Financial Services, Llc Miami FL 12/2020 Present
  • 07/2009 → 04/2018
    Efg Capital International Inc
    Miami, FL
  • 08/2016 → 04/2018
    Efg Capital Advisors Inc
    Miami, FL
  • 04/2018 → 12/2020
    Ocean Financial Services Llc
    Miami, FL
  • 05/2019 → 07/2020
    Miami, FL
  • 07/2020 → Present
    Miami, FL
  • 12/2020 → Present
    Ocean Financial Services, Llc
    Miami, FL
Previous Registrations
  • 2016-08-26 → 2018-04-20
    Efg Capital Advisors Inc.
    Key Biscayne, FL
    Miami, FL
  • 2009-11-10 → 2014-11-10
    Efg Capital Advisors Llc
    Miami, FL
  • 2006-11-30 → 2009-07-22
    Truist Investment Services, Inc.
    Coral Gables, FL
    Key Biscayne, FL
    Key Biscayne, FL
    Key Biscayne, FL
Other Businesses

COMPANY NAME: OCEAN FINANCIAL ADVISORS, LLC; INVESTMENT RELATED; PURPOSE OF BUSINESS:ADVISORY SERVICES; HIRE DATE: 05/31/2019; APPROX NUMBER OF HOURS A MONTH: 160H; COMPANY LOCATION: MIAMI FL, POSITION: FINANCIAL ADVISER Company Name: Ocean Insurance Services; Non-Investment Related; Insurance Representative; 2021; 12hours/month; Company Location: Miami, FL Position: Insurance Agent

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-28
  • S66 Uniform Combined State Law Examination
    2006-11-28
Other Names
  • Alexandra Maria Rumie

View on SEC IAPD

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