SD
Susan Disdier
UCAP AMERICAS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4203995
SD
Professional summary
Susan Disdier, who also goes by Susan VIvian Disdier, Susan Vivian Disdier-valero, is a registered financial advisor currently at UCAP AMERICAS located in Miami, Florida and UCAP AMERICAS located in Miami, Florida.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Susan has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Vivian Disdier | Susan Vivian Disdier-Valero
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.
Susan is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. 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. Susan is an Investment Advisor Representative at UCAP Asset Management LLC (affiliate entity) Susan is owner of Sudis Advisors Inc., a company established in Florida. The company was created to receive her remuneration from UCAP Asset Management LLC. Sudis Advisors Inc. has no commercial activity, and the time Susan spends in this OBA is 3% or less. Susan is not actively engaged in any non-investment-related business or occupation for compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Disdier'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
July 22, 2021 - Present
UCAP AMERICAS
Office #1: 1221 Brickell Avenue Suite 2040, Miami, FL 33131RIA
CRD#: 170846
Miami, FL
Current
July 15, 2021 - Present
UCAP AMERICAS
Office #1: 1221 Brickell Avenue Suite 2040, Miami, FL 33131BD
CRD#: 173643
Miami, FL
Past
March 30, 2017 - May 19, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CORAL GABLES, FL
Past
March 28, 2017 - May 19, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CORAL GABLES, FL
Past
July 21, 2016 - April 3, 2017
EFG CAPITAL ADVISORS INC.
RIA
CRD#: 112224
MIAMI, FL
Past
August 23, 2012 - November 6, 2014
EFG CAPITAL ADVISORS LLC
RIA
CRD#: 145208
MIAMI, FL
Past
July 27, 2000 - April 3, 2017
EFG CAPITAL INTERNATIONAL
BD
CRD#: 40118
MIAMI, FL
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
IAR
Florida(7/22/2021)
RR
Florida(8/17/2021)
RR
Wisconsin(4/7/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)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
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)
Regulatory assets under management
| Total Number of Accounts | 178 |
| 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 33131TRUST BUT VERIFY
Monitor Susan Disdier
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
