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DC

Dinah Caratini

UCAP AMERICAS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 2757383
DC

Professional summary

Dinah Caratini, who also goes by Dinah Caratini, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dinah Caratini

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) - BD

Click below to view Dinah Caratini'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 16, 2021 - Present

UCAP AMERICAS

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

May 7, 2007 - August 16, 2012

CREDICORP CAPITAL LLC

RIA
CRD#: 136791
MIAMI, FL
Past

May 4, 2007 - July 1, 2021

CREDICORP CAPITAL LLC

BD
CRD#: 136791
MIAMI, FL
Past

April 2, 2007 - April 9, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
MIAMI, FL
Past

April 2, 2007 - April 9, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
MIAMI, FL
Past

September 27, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
MIAMI, FL
Past

July 19, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
MIAMI, FL
Past

September 14, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

September 14, 1999 - June 22, 2005

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Georgia
(8/11/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/25/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/5/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/24/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/13/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 28
Date: 12/11/2009
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/14/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/15/2005
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/1/2005
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UA
UCAP AMERICAS
UCAP AMERICAS | UCAPAMERICAS | UCAP SECURITIES LLC

CRD#: 173643 / SEC#: , 8-69543

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1221 Brickell Avenue Suite 2040, Miami, FL 33131
Mailing Address
1221 Brickell Avenue Suite 2040, Miami, FL 33131
Phone number
(786) 558-1207
Established
Delaware since 05/22/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UNION CAPITAL GROUP USA LLC (FORMERLY UCAP HOLDINGS USA LLC)OWNER
CAMPANO, SIXTOCHIEF EXECUTIVE OFFICER1567239
CARATINI, DINAHCCO/AMLCO2757383
MASSENS, JUAN CARLOSFINOP AND CHIEF OPERATING OFFICER2802360

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#: 173643Miami, FL 33131

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