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1221 Brickell Avenue Suite 2040, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-10-06 |
Branch Locations
1221 Brickell Avenue Suite 2040, 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 |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Miami | FL | 09/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Miami | FL | 11/2016 | 09/2021 |
| Ucap Securities Llc | Miami | FL | 09/2021 | Present |
| Ucap Asset Management Llc | Miami | FL | 09/2021 | Present |
1) Financial Advisor at UCAP Asset Management, LLC; Affiliated Investment Adviser Firm; Investment Related; Start Date: 09/22/2021; Address: Miami, FL (Shared Location with BD) 2) Francisco is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. 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. 3.) Frank is owner of TRICAM ADVISORS LLC, a company established in Florida. The company was created to receive his remuneration from UCAP Asset Management. He may also subscribe to various information services through this company. TRICAM ADVISORS LLC has no commercial activity, and the time Frank spends in this OBA is 5% or less. 3.) Mr. De la Camara is an Advisor for Itera.Health Corp., a digital healthcare provider based in Miami, Florida. He helps sourcing and introducing individuals in the medical industry that can assist the company to grow and advises the company on corporate structure, ethical issues, etc. He has no salary or commissions. His compensation is composed of a vested Restricted Stock Award, and other stock and options awards in the future. He will spend 2.5% of his time in this activity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 1990-05-11 |
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