SC
Santiago L. Copello
BOREAL CAPITAL MANAGEMENT LLC
Boca Raton, FL
Some features on this profile are disabled
CRD#: 3169072
SC
Professional summary
Santiago L Copello is a registered financial advisor currently at BOREAL CAPITAL MANAGEMENT LLC located in Boca Raton, Florida and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.
Santiago is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Santiago has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
DUALLY REGISTERED WITH OUR AFFILIATE BOREAL CAPITAL MANAGEMENT, LLC. IN ADVISORY SERVICES SEEKING CLIENTS, SPENDS APPROX. 10 HRS./MONTHLY STARTING 12/2020. RDK ADVISORS (601 NW LOOP 410 WEST, SUITE 240 SAN ANTONIO TX 78216) TIME SPENT APPROXIMATELY 3 HOURS MONTHLY DURING NON-TRADING HOURS TO PROVIDE INSURANCE SOLUTIONS ON THE SALE OF LIFE INSURANCE PRODUCTS. LIFE INSURANCE LICENSE WITH EXTERNAL INSURANCE COMPANY HOLDING LICENSE FOR WHEN CLIENTS SHOWING INTEREST IN THOSE PRODUCTS.COMPENSATION WILL BE A PERCENTAGE BASED ON THE PRODUCT AMOUNT. 09/15/2021 FUNDACION SANTIAGO VERGARA CRESPO (CRA 13 #90-20 OFICINA 405 BOGOTA COLOMBIA). THE FOUNDATION INHERETED PROPERTY IN COLOMBIA THAT HAS DEVELOPED A BRANCH OF A CATHOLIC UNIVERSITY. MEMBER OF THE FINANCE COMMITTEE INVOLVED IN THE MANAGEMENT AND ADVISEMENT AND OVERSIGHT OF THE FOUNDATION'S INVESTMENTS. VISTUAL MEETINGS MONTHLY WITH COMPENSATION OF $350 PER MEETING ATTENDED. DIRECTORSHIP FOR MARINFIN HOLDINGS INC. INVESTMENT RELATED. ADVICE THE CLIENTS FOUNDATION, ASSIST IN PEPORTING. NO COMINGLING OF PERSONAL INVESTMENTS. 5-10 HOURS PER WEEK. COMPENSATION IS A YEARLY FIXED SUM. 4 SEPERATE ACCOUNTS CUSTODIED AT MERRILL LYNCH. THESE ACCOUNTS ARE NOT BEING CHARGED FEES BY BOREAL CAPITAL MANAGMENT AND DO NOT APPEAR ON BCMs Books&Records FOR INTERNAL COMPLIANCE REASONS. MR COPELLO WILL MANAGE AND CHARGE ADVISORY FEES FOR THESE ACCOUNTS DIRECTLY WITH MERRILL LYNCH. MR COPELLO HAS BEEN ADVISING THESE ACCOUNTS SINCE 2002. MR COPELLO WILL DEVOTE 4 HOURS A MONTH TO THE MANAGEMENT OF THESE ACCOUNTS. THE 4 ACCOUNTS ARE CUSTODIED AT MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 2800 POST OAK BLVD, STE 2200. HOUSTON TX 77056
CRS (Client Relationship Summary) - RIA
Click below to view Santiago L Copello's 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®
NoneExperience
Current
February 3, 2021 - Present
BOREAL CAPITAL MANAGEMENT LLC
RIA
CRD#: 112221
Boca Raton, FL
Current
November 30, 2020 - Present
BOREAL CAPITAL SECURITIES LLC
Office #1: 1450 Brickell Avenue Suite 2900, Miami, FL 33131BD
CRD#: 158599
Miami, FL
Past
January 4, 2019 - November 30, 2020
INSIGNEO ADVISORY SERVICES, LLC
RIA
CRD#: 282589
MIAMI, FL
Past
August 23, 2018 - November 30, 2020
INSIGNEO SECURITIES, LLC
BD
CRD#: 29249
MIAMI, FL
Past
January 20, 2011 - December 13, 2012
ITA FINANCIAL SERVICES, LLC
BD
CRD#: 38649
MIAMI, FL
Past
February 17, 2009 - December 31, 2010
LEVELX CAPITAL LLC
BD
CRD#: 117028
BROOKLYN, NY
Past
September 3, 2003 - February 19, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CORAL GABLES, FL
Past
August 25, 2003 - February 19, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CORAL GABLES, FL
Past
July 1, 2003 - August 27, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AVENTURA, FL
Past
July 1, 2003 - August 27, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 9, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
AVENTURA, FL
Past
February 3, 1999 - July 1, 2003
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".
BC
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.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(12/1/2020)
IAR
Florida(2/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
44
SEC notice filing (24 States and Territories)
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.
