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1221 Brickell Avenue Suite 2040, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-07-25 |
| NY | RA | APPROVED | 2022-07-25 |
Branch Locations
1200 Brickell Avenue Suite 501, Miami, FL 33131 • United States
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 |
|---|---|---|---|---|
| Efg Capital International Corp | Miami | FL | 11/2008 | Present |
| Efg Capital Advisors Llc | Miami | FL | 11/2008 | 07/2022 |
| Efg Capital Advisors Inc | Miami | FL | 06/2014 | 07/2022 |
| Ucap Securities Llc | Miami | FL | 07/2022 | Present |
| Ucap Asset Management Llc | Miami | FL | 07/2022 | Present |
Mr. Ortiz maintains a license to sell life and long-term care insurance. He sporadically sells these products on a referral basis only. He does not dedicate any business hours to this activity since it is done mostly on weekends. His yearly remuneration could fluctuate from 0 to $2,000 per year. Mr. Ortiz is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Mr. Ortiz 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. Mr. Ortiz owns 2 apartments at 2451 Brickell Ave, Apt 12M; Miami, FL 33129 and 999 Brickell Bay Dr, Tower 1, Apt 704; Miami, FL 33131which he rents and receives rental income on a monthly basis. No business hours spent on this activity.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-07-10 |
| S65 | Uniform Investment Adviser Law Examination | 1999-11-23 |
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