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1221 Brickell Avenue Suite 2040, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-08-22 |
Branch Locations
1221 Brickell Avenue Suite 2040, Miami, FL 33131 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Miami | FL | 09/2014 | 07/2017 |
| Morgan Stanley | West Palm Beach | FL | 07/2017 | 07/2023 |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2022 | 07/2023 |
| Ucap Securities Llc | Miami | FL | 07/2023 | Present |
Lourdes is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Lourdes is a Financial Advisor at UCAP Asset Management LLC, an affiliated Investment Advisor Firm; investment related. 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 2012-01-03 |
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