Lia B. Yaffar-pena

Some features on this profile are disabled

CRD#: 1931867

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lia B Yaffar-pena, who also goes by Lia B Yaffar, Lia Beatriz Yaffarpena, was a registered financial professional .

Lia is a previously registered financial professional and started their career in finance in 1989. Lia had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24, Series 4 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lia B Yaffar | Lia Beatriz Yaffarpena

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 9, 2016 - September 1, 2017

UNIMAR

RIA

CRD#: 159674

MIAMI, FL

Past

January 2, 2014 - April 8, 2016

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

AVENTURA, FL

Past

November 13, 2013 - April 8, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

AVENTURA, FL

Past

June 6, 2003 - October 18, 2013

BRICKELL GLOBAL MARKETS, INC.

CRD#: 104316

MIAMI, FL

Past

August 29, 2000 - May 21, 2003

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

MIAMI, FL

Past

August 23, 2000 - May 21, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 18, 1999 - August 18, 2000

EFG CAPITAL INTERNATIONAL LLC

CRD#: 28349

MIAMI, FL

Past

July 18, 1996 - January 29, 1999

IBEROAMERICAN SECURITIES CORP.

CRD#: 37033

MIAMI, FL

Past

January 7, 1992 - June 20, 1996

EFG CAPITAL INTERNATIONAL LLC

CRD#: 28349

MIAMI, FL

Past

October 30, 1989 - January 29, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 21, 1989 - December 5, 1989

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNIMAR

UNIMAR | UNIMAR FINANCIAL SERVICES, LLC

CRD#: 159674 / SEC#: 801-108974

RIA

Registered Investment Advisory firm - (1/23/2017 Approved)

Florida

Registered Investment Advisory firm - (2/13/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/1/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/13/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/30/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 8/1/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/9/1995

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 11/7/1991

Financial and Operations Principal Examination

Current Firm

UNIMAR

UNIMAR | UNIMAR FINANCIAL SERVICES, LLC

CRD#: 159674 / SEC#: 801-108974

RIA

Registered Investment Advisory firm - (1/23/2017 Approved)

Florida

Registered Investment Advisory firm - (2/13/2017 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 Brickell Avenue Suite 2160, Miami, FL 33131

Mailing Address

Phone number

(786) 245-4164

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNIMAR ADV PART 2 2024 (3/6/2025)

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 213,299,652

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lia B. Yaffar-pena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

BRICKELL GLOBAL MARKETS, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

EFG CAPITAL INTERNATIONAL LLC

IBEROAMERICAN SECURITIES CORP.

EFG CAPITAL INTERNATIONAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

UNIMAR

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/2013

Series 63

Date: 7/22/1992

SIE

Date: 4/8/2016

Series 3

Date: 4/1/1996

Series 7

Date: 3/18/1989

Series 10

Date: 9/13/2000

Series 9

Date: 8/30/2000

Series 24

Date: 8/1/1996

Series 4

Date: 8/9/1995

Series 27

Date: 11/7/1991

Current Firm

UNIMAR

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNIMAR

TRUST BUT VERIFY

Similar Advisors