Miguel L. Ortiz

UCAP AMERICAS

Miami, FL 33131

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CRD#: 2444975

Professional summary

Miguel Luis Ortiz, CFP®, who also goes by Mike L Ortiz, is a registered financial advisor currently at UCAP AMERICAS located in Miami, Florida and UCAP AMERICAS located in Miami, Florida.

Miguel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Miguel has worked at 12 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike L Ortiz

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.

Mr. Ortiz maintains a license to sell life and long-term care insurance. He sporadically sells these products on a referral basis only. He does not dedicate any business hours to this activity since it is done mostly on weekends. His yearly remuneration could fluctuate from 0 to $2,000 per year. Mr. Ortiz is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Mr. Ortiz 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. Mr. Ortiz owns 2 apartments at 2451 Brickell Ave, Apt 12M; Miami, FL 33129 and 999 Brickell Bay Dr, Tower 1, Apt 704; Miami, FL 33131which he rents and receives rental income on a monthly basis. No business hours spent on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miguel Luis Ortiz'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®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Current

July 25, 2022 - Present

UCAP AMERICAS

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

RIA

CRD#: 170846

Miami, FL

Current

July 12, 2022 - Present

UCAP AMERICAS

Office #1: 1221 Brickell Ave Suite 2040, Miami, FL 33131

CRD#: 173643

Miami, FL

Past

April 30, 2021 - July 13, 2021

EFG CAPITAL INTERNATIONAL

RIA

CRD#: 40118

MIAMI, FL

Past

November 21, 2019 - July 6, 2022

EFG ASSET MANAGEMENT (AMERICAS) CORP.

RIA

CRD#: 158905

MIAMI, FL

Past

June 12, 2014 - February 22, 2019

EFG CAPITAL ADVISORS INC.

RIA

CRD#: 112224

MIAMI, FL

Past

November 6, 2009 - October 29, 2014

EFG CAPITAL ADVISORS LLC

RIA

CRD#: 145208

MIAMI, FL

Past

December 11, 2008 - July 6, 2022

EFG CAPITAL INTERNATIONAL

CRD#: 40118

MIAMI, FL

Past

August 18, 2008 - November 17, 2008

VECTORGLOBAL WMG

CRD#: 32396

MIAMI, FL

Past

August 2, 2001 - August 15, 2008

INSIGNEO WEALTH ADVISORS, LLC

RIA

CRD#: 112706

MIAMI, FL

Past

June 22, 2001 - August 15, 2008

INSIGNEO SECURITIES, LLC

CRD#: 29249

MIAMI, FL

Past

January 8, 1998 - June 25, 2001

CENTENNIAL CAPITAL MANAGEMENT, INC.

CRD#: 38988

ATLANTA, GA

Past

February 14, 1994 - January 21, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 14, 1994 - January 21, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

UCAP AMERICAS

UCAP AMERICAS | UNION CAPITAL GROUP | UCAPAMERICAS | UCAP ASSET MANAGEMENT LLC

CRD#: 170846 / SEC#: 801-79625

RIA

Registered Investment Advisory firm - (5/6/2014 Approved)

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

Delaware
(3/4/2025)

Florida
(7/12/2022)

IAR

Florida
(7/25/2022)

Nevada
(4/28/2025)

New York
(7/12/2022)

IAR

New York
(7/25/2022)

Texas
(10/14/2025)

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

Series 63

Date: 7/10/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/23/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/14/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/17/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UCAP AMERICAS

UCAP AMERICAS | UNION CAPITAL GROUP | UCAPAMERICAS | UCAP ASSET MANAGEMENT LLC

CRD#: 170846 / SEC#: 801-79625

RIA

Registered Investment Advisory firm - (5/6/2014 Approved)

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Contact information

Main Address

1221 Brickell Avenue Suite 2040, Miami, FL 33131

Mailing Address

1221 Brickell Ave Suite 2040, Miami, FL 33131

Phone number

(646) 809-3600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UCAP ASSET MANAGEMENT LLC PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 165,941,851

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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Advisor Monitoring

Firm Stability Insights

Miguel L. Ortiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miguel Luis Ortiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

UCAP AMERICAS

EFG CAPITAL INTERNATIONAL

EFG ASSET MANAGEMENT (AMERICAS) CORP.

EFG CAPITAL ADVISORS INC.

EFG CAPITAL ADVISORS LLC

EFG CAPITAL INTERNATIONAL

VECTORGLOBAL WMG

INSIGNEO WEALTH ADVISORS, LLC

INSIGNEO SECURITIES, LLC

CENTENNIAL CAPITAL MANAGEMENT, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

UCAP AMERICAS

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/2000

Series 65

Date: 11/23/1999

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/11/1994

Series 4

Date: 3/14/2006

Series 53

Date: 12/17/2002

Series 24

Date: 8/27/1999

FINRA

Current Firm

UCAP AMERICAS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UCAP AMERICAS

TRUST BUT VERIFY

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