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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-07-06 |
| TX | RA | APPROVED | 2020-06-26 |
Branch Locations
200 South Biscayne Boulevard Suite 1100, Miami, FL 33131 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Coral Gables | FL | 03/2013 | 06/2020 |
| Morgan Stanley Smith Barney Llc | Miami | FL | 06/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2020 | Present |
1. RIO VISTA FIG LLC , REAL ESTATE INVESTMENT, PASSIVE INVESTOR 2. *543485 - The Herrera Capital Group V LLC; Investment related Yes; Miami, Florida; Real Estate; Officer (proprietor, partner, officer, director, employee, trustee, agent); 03/2023 ; During business hours: 0; After business hours: 0; Administrative. 3. *543487 - The Herrera Capital Group VI; Investment related Yes; Miami, Florida; Technology; Officer (proprietor, partner, officer, director, employee, trustee, agent); 03/2023 ; During business hours: 0; After business hours: 0; Administrative. 4. *543492 - The Herrera Capital Group II LLC; Investment related Yes; Miami, Florida; Real Estate; Officer (proprietor, partner, officer, director, employee, trustee, agent); 03/2023 ; During business hours: 0; After business hours: 0; Administrative. 5. *543489 - The Herrera Capital Group IV LLC; Investment related Yes; Miami, Florida; Real Estate; Officer (proprietor, partner, officer, director, employee, trustee, agent); 03/2023 ; During business hours: 0; After business hours: 0; Administrative. 6. *543490 - The Herrera Capital Group III LLC; Investment related Yes; Miami, Florida; Real Estate; Officer (proprietor, partner, officer, director, employee, trustee, agent); 03/2023 ; During business hours: 0; After business hours: 0; Administrative. 7. *587796- The Herrera Capital Group VII LLC; Investment related: Yes; Key Biscayne, Florida; Hospital/Healthcare; Officer (proprietor, partner, officer, director, employee, trustee, agent); 03/2024; During business hours: 0; After business hours: 0; Administrative *547461 - Real Estate; Investment related: Yes; Miami, Florida; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 05/2023; During business hours: 0; After business hours: 0; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 2013-09-04 |
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