Umberto Perez
CASTLEVIEW PARTNERS
CORAL GABLES, FL 33134
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CRD#: 4149270
Professional summary
Umberto Perez JR., CFP® is a registered financial advisor currently at CASTLEVIEW PARTNERS, LLC located in Coral Gables, Florida and KOVACK SECURITIES INC. located in Coral Gables, Florida.
Umberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Umberto has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 6 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.
1) DBA: UP Capital Management LLC. 814 Ponce De Leon BLVD Suite 500 Coral Gables, FL 33156; President; Holistic approach to financial planning; Investment related business; 40% of time spent 2) DBA -Castleview Partners - 814 Ponce De Leon Blvd, Ste 500, Coral Gables, FL 33134; Outside RIA Business; Investment Related; Principal; Advisory Services to Individual Corporations; 50% of time spent 3) Fixed Insurance - 814 Ponce De Leon Blvd, Ste 500, Coral Gables, FL 33134;Fixed Insurance; Investment Related; President; Holistic approach to financial planning; 40% of time spent 4) Real Estate; Non-investment related; 740 Aledo Ave Coral Gables, FL 33134; Owner; Manage properties, collect rent; 2% of time spent 5) Watercolor Dream, LLC -814 Ponce De Leon Blvd, Ste 500, Coral Gables, FL 33134; Start Date June 23, 2025; Investment Related; Real Estate; Oversee Property Management; Manager; 4 Hours/Month devoted to other business; Less than 1 Hour/Month devoted to other business during securities trading hours. 6) TN Family Cabin LLC - 814 Ponce De Leon Blvd, Ste 500, Coral Gables, FL 33134; Start Date September 10, 2021; Investment Related; Real Estate; Oversee Property Management; Manager; 4 Hours/Month devoted to other business; Less than 1 Hour/Month devoted to other business during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Umberto Perez JR.'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®
CFP®
Start date: 2010
Experience
Current
November 4, 2015 - Present
CASTLEVIEW PARTNERS, LLC
Office #1: 814 Ponce De Leon Suite 500, Coral Gables, FL 33134RIA
CRD#: 281410
CORAL GABLES, FL
Current
February 16, 2016 - Present
KOVACK SECURITIES INC.
Office #1: 814 Ponce De Leon Blvd Ste 500, Coral Gables, FL 33134BD
CRD#: 44848
Coral Gables, FL
Past
March 3, 2014 - February 1, 2016
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
CORAL GABLES, FL
Past
March 30, 2009 - December 31, 2010
GLOBAL WEALTH ADVISORS
RIA
CRD#: 141758
CORAL GABLES, FL
Past
January 25, 2006 - April 15, 2016
FORTITUDE ADVISORY GROUP L.L.C.
RIA
CRD#: 116083
CORAL GABLES, FL
Past
January 6, 2006 - February 28, 2014
ARGENTUS SECURITIES, LLC
BD
CRD#: 45915
CORAL GABLES, FL
Past
July 29, 2004 - January 31, 2006
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
CORAL GABLES, FL
Past
September 19, 2003 - January 31, 2006
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
CORAL GABLES, FL
Past
February 13, 2003 - September 3, 2003
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CORAL GABLES, FL
Past
March 27, 2000 - September 3, 2003
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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".
CP
CASTLEVIEW PARTNERS, LLC
AIALPHA TAMP SERVICES | FUSE PARTNERS | CASTLEVIEW PARTNERS, LLC D/B/A AIALPHA TAMP SERVICES | CASTLEVIEW PARTNERS, LLC
CRD#: 281410 / SEC#: 801-106652
RIA
Registered Investment Advisory firm - (9/11/2015 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
Arkansas(1/3/2017)
RR
Colorado(1/3/2017)
IAR
Florida(11/4/2015)
RR
Florida(2/16/2016)
RR
Illinois(2/16/2016)
RR
Iowa(12/22/2020)
RR
North Carolina(3/7/2016)
RR
Oklahoma(1/3/2017)
RR
South Carolina(1/3/2017)
RR
Texas(1/3/2017)
RR
Virginia(1/3/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CP
CASTLEVIEW PARTNERS, LLC
AIALPHA TAMP SERVICES | FUSE PARTNERS | CASTLEVIEW PARTNERS, LLC D/B/A AIALPHA TAMP SERVICES | CASTLEVIEW PARTNERS, LLC
CRD#: 281410 / SEC#: 801-106652
RIA
Registered Investment Advisory firm - (9/11/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4851 Lbj Freeway Suite 850, Dallas, TX 75244
Mailing Address
Phone number
(214) 710-1995
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,133 |
| AUM (Assets Under Management) | $ 331,233,271 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CASTLEVIEW PARTNERS, LLC
CRD#: 281410Coral Gables, FL 33134TRUST BUT VERIFY
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