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LJ

Luis E. Jocelyn-holt

UCAP AMERICAS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 2721821
LJ

Professional summary

Luis Enrique Jocelyn-holt, who also goes by Luis E Jocelynholt, Luis Enrique Jocelynholt, is a registered financial advisor currently at UCAP AMERICAS located in Miami, Florida and UCAP AMERICAS located in Miami, Florida.

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Luis has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Luis E Jocelynholt | Luis Enrique Jocelynholt

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 Enrique Jocelyn-holt'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

July 18, 2025 - Present

UCAP AMERICAS

Office #1: 1221 Brickell Avenue Suite 2040, Miami, FL 33131
RIA
CRD#: 170846
Miami, FL
Current

July 16, 2025 - Present

UCAP AMERICAS

Office #1: 1221 Brickell Avenue Suite 2040, Miami, FL 33131
BD
CRD#: 173643
Miami, FL
Past

April 20, 2021 - July 22, 2025

INSIGNEO ADVISORY SERVICES, LLC

RIA
CRD#: 282589
Palmetto Bay, FL
Past

July 14, 2020 - July 22, 2025

INSIGNEO SECURITIES, LLC

BD
CRD#: 29249
MIAMI, FL
Past

August 27, 2009 - December 5, 2019

EFG CAPITAL INTERNATIONAL

BD
CRD#: 40118
MIAMI, FL
Past

July 10, 1998 - September 1, 1999

IAI SECURITIES, INC.

BD
CRD#: 27917
MINNEAPOLIS, MN
Past

July 11, 1996 - July 9, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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".
UA
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.
RR
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

RR
Florida
(7/16/2025)
IAR
Florida
(7/18/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/7/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/19/1997
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/1/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UA
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
10

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts178
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.

Company Information

UCAP AMERICAS

CRD#: 170846Miami, FL 33131

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