Ruben S. Hernandez

BOREAL CAPITAL MANAGEMENT LLC

Miami, FL 33131

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CRD#: 2465286

Professional summary

Ruben S Hernandez is a registered financial advisor currently at BOREAL CAPITAL MANAGEMENT LLC located in Miami, Florida and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Ruben is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Ruben has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. CHINA INVESTMENT VENTURE. 777 BRICKEL AVENUE SUITE 1201 MIAMI, FL. RUBEN IS A LIMITED PARTNER AND PASSIVE INVESTOR SINCE MARCH 2010. NO TIME IS ALLOCATED TO THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ruben S Hernandez'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

May 13, 2022 - Present

BOREAL CAPITAL MANAGEMENT LLC

Office #1: 1450 Brickell Avenue Suite 2900, Miami, FL 33131

RIA

CRD#: 112221

Miami, FL

Current

November 8, 2012 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131

CRD#: 158599

Miami, FL

Past

April 6, 2006 - November 7, 2012

CREAND SECURITIES

CRD#: 38964

MIAMI, FL

Past

December 20, 2001 - April 5, 2006

ICBC STANDARD SECURITIES INC.

CRD#: 35560

NEW YORK, NY

Past

October 24, 2000 - November 14, 2001

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

July 13, 1994 - October 30, 2000

MORGAN STANLEY & CO. LLC

CRD#: 8209

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".

BOREAL CAPITAL MANAGEMENT LLC

BOREAL CAPITAL MANAGEMENT LLC | PRS LATAM LLC | MORA WEALTH MANAGEMENT LLC | INTRACOASTAL FAMILY OFFICE

CRD#: 112221 / SEC#: 801-57604

RIA

Registered Investment Advisory firm - (6/9/2000 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
(6/22/2017)

Florida
(11/8/2012)

IAR

Florida
(5/13/2022)

Kansas
(12/12/2012)

New York
(11/8/2012)

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 65

Date: 4/26/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/19/2015

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/29/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/7/2003

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

BOREAL CAPITAL MANAGEMENT LLC

BOREAL CAPITAL MANAGEMENT LLC | PRS LATAM LLC | MORA WEALTH MANAGEMENT LLC | INTRACOASTAL FAMILY OFFICE

CRD#: 112221 / SEC#: 801-57604

RIA

Registered Investment Advisory firm - (6/9/2000 Approved)

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Contact information

Main Address

1450 Brickell Avenue Suite 2900, Miami, FL 33131

Mailing Address

Phone number

(305) 459-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOREAL CAPITAL MANAGEMENT - FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	719
AUM (Assets Under Management)	$ 1,839,898,461

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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Ruben S. Hernandez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ruben S Hernandez's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOREAL CAPITAL SECURITIES LLC

CREAND SECURITIES

ICBC STANDARD SECURITIES INC.

PERSHING LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

BOREAL CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2022

Series 63

Date: 10/5/1994

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/19/2015

Series 7

Date: 6/29/1994

Series 4

Date: 6/7/2003

FINRA

Current Firm

BOREAL CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BOREAL CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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