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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.

top-8-questions

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.
1.ENRIQUE IS A DIRECTOR AT FRIENDS OF THE CATHOLIC UNIVERSITY IN CHILE, INC.- A U.S.NON-PROFIT ORGANIZATION DEDICATED TO PROMOTING HIGHER EDUCATION IN CHILE BY PROVIDING ASSISTANCE TO THE CATHOLIC UNIVERSITY OF CHILE. TITLE: BOARD MEMBER; RENUMERATION: NONE; TIME DEDICATED TO THIS ACTIVITY: PARTICIPATE IN 2 MEETINGS PER YEAR. 2.Enrique is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Enrique 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. 3. Activo Capital LLC: Owner, SEC registered investment advisor created for future business use. Currently dormant. Start 9/2020. Spends 0hrs./mo. 4. Activo Advisors LLC: Owner, Entity created for future business use. Currently dormant. Start 10/2020. Spends 0hrs./mo. This entity may terminate in the near future. 5. Activo Holdings- Owner, entity created as a holding company of Activo Capital and Activo Advisors. Currently dormant and has no ownership of Activo Capital and Activo Advisors. Start 10/2020. Spends 0hrs./mo 6. Northstar Mortgage Investment Inc.- Passive investor in this entity, he does not sell their products nor receive any commissions, 0 time spent on this activity. 7. Upaya Holdings Inc.- Passive investor, plant based therapeutical medical company, he does not sell their products nor receive any commissions, 0 time spent on this activity. 8. OBE Power- Passive investor, this company provides EV charging solutions, he does not sell their products nor receive any commissions, 0 time spent on this activity. 9. Republica del Cucuy LLC- Passive investor, this company manufactures liquor called cucuy, under the name of Verdor, he does not sell their products nor receive any commissions, 0 time spent on this 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
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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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