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800 Brickell Ave. Ste.1111, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Miami | FL | 06/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Miami | FL | 11/2016 | 02/2017 |
| Ais Securities | Miami | FL | 03/2017 | 08/2017 |
| Bci Securities, Inc. | Miami | FL | 05/2025 | 09/2025 |
| Ucap Securities Llc | New York | NY | 06/2017 | 12/2018 |
| Risk & Compliance Consulting Llc | Miami | FL | 01/2017 | Present |
| Avenue Global Advisors Llc | Miami | FL | 10/2019 | 12/2019 |
| Latin Securities Inc | Miami | FL | 10/2022 | 07/2025 |
Manager Shareholder of Risk & Compliance Consulting LLC/non-investment related/Miami, FL/firm provides regulatory consulting, management and advice services to RIAs, BDs, other Consultants since Feb 2017/20h per week.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-12 |
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