Luis H. Vivas-sardi

ADVISORY INVESTOR SERVICES

Miami, FL 33131

CRD#: 2393686

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Professional summary

Luis Homero Vivas-sardi, who also goes by Luis Homero VIvas, Luis Vivas, is a registered financial advisor currently at ADVISORY INVESTOR SERVICES LLC located in Miami, Florida and MIURA CAPITAL, LLC located in Miami, Florida.

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Luis has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luis Homero Vivas | Luis Vivas

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) - RIA

Click below to view Luis Homero Vivas-sardi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

October 27, 2021 - Present

ADVISORY INVESTOR SERVICES LLC

Office #1: 1200 Brickell Avenue Suite 250, Miami, FL 33131

RIA

CRD#: 173134

Miami, FL

Current

October 28, 2021 - Present

MIURA CAPITAL, LLC

Office #1: 1395 Brickell Ave Suite 1560, Miami, FL 33131Office #2: 1200 Brickell Ave Suite 250, Miami, FL 33131

CRD#: 146193

MIAMI, FL

Past

July 1, 2003 - November 3, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

July 1, 2003 - November 3, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMI, FL

Past

September 29, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

MIAMI, FL

Past

September 29, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 23, 1993 - October 12, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

ADVISORY INVESTOR SERVICES LLC

CRD#: 173134 / SEC#: 801-122774

RIA

Registered Investment Advisory firm - (11/26/2021 Approved)

Florida

Registered Investment Advisory firm - (12/16/2021 Terminated)

Maryland

Registered Investment Advisory firm - (12/17/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (12/23/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (12/20/2021 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Florida
(10/27/2021)

Florida
(10/28/2021)

Maryland
(3/13/2023)

IAR

Texas
(11/23/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/19/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/4/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/22/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ADVISORY INVESTOR SERVICES LLC

CRD#: 173134 / SEC#: 801-122774

RIA

Registered Investment Advisory firm - (11/26/2021 Approved)

Florida

Registered Investment Advisory firm - (12/16/2021 Terminated)

Maryland

Registered Investment Advisory firm - (12/17/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (12/23/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (12/20/2021 Terminated)

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Contact information

Main Address

1200 Brickell Avenue Suite 250, Miami, FL 33131

Mailing Address

Phone number

(786) 462-6044

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B FOR AIS (4/11/2025)

Regulatory assets under management

Total Number of Accounts	208
AUM (Assets Under Management)	$ 181,222,912

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.

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Firm Stability Insights

Luis H. Vivas-sardi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Homero Vivas-sardi's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIURA CAPITAL, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ADVISORY INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2010

Series 63

Date: 10/19/1996

SIE

Date: 10/1/2018

Series 3

Date: 3/4/1995

Series 7

Date: 12/22/1993

FINRA

Current Firm

ADVISORY INVESTOR SERVICES LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISORY INVESTOR SERVICES LLC

TRUST BUT VERIFY

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