Dinah Caratini
Professional Summary
Dinah Caratini, who also goes by Dinah Caratini, is a registered financial advisor currently at UCAP AMERICAS located in Miami, Florida. Dinah is registered as a RR (Registered Representative) and started their career in finance in 1999. Dinah has worked at 6 firms and has passed the Series 66, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 14, Series 28, Series 4, Series 9, Series 10 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dinah Caratini
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
UCAP AMERICAS | UCAPAMERICAS | UCAP SECURITIES LLC
Contact Information
Main Address
1221 Brickell Avenue Suite 2040, Miami, FL 33131Mailing Address
1221 Brickell Avenue Suite 2040, Miami, FL 33131Phone Number
(786) 558-1207Established
Delaware since 05/22/2014Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (20 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(8/11/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 2009Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1999About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Dec 2009About the Series 28 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2005About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2005About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Dinah Caratini's CRS (Customer Relationship Summary).
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