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1221 Brickell Avenue Suite 2040, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-08-31 |
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 |
|---|---|---|---|---|
| Efg Capital International | Miami | FL | 12/2008 | 09/2020 |
| Insigneo Securities Llc | Miami | FL | 09/2020 | 03/2021 |
| Insigneo Advisory Services Llc | Miami | FL | 09/2020 | 03/2021 |
| Ucap Securities Llc | Miami | FL | 03/2021 | Present |
| Ucap Asset Management Llc | Miami | FL | 03/2021 | Present |
Ana Maria is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Ana 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. Ana Maria is not actively engaged in any non-investment-related business or occupation for compensation. Ana Maria a is the owner of a Florida corporation called Amaazonas Investments Corp. This entity is passive and has no commercial activity. It was established for the purpose of receiving Ana's advisory commissions from her employer. Ana spends 0% of her time on this activity.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-04-19 |
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