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LB

Lorena D. Berthe-martinez

BOREAL CAPITAL MANAGEMENT LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4207106
LB

Professional summary

Lorena Dayana Berthe-martinez, who also goes by Lorena Dayana Berthe, is a registered financial advisor currently at BOREAL CAPITAL MANAGEMENT LLC located in Miami, Florida and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Lorena is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Lorena has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lorena Dayana Berthe

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.
Mora Wealth Management, LLC. (SEC Registered Investment Advisor) Affiliate of Mora WM Securities, LLC (FINRA Registered Broker Dealer) located at 1450 Brickell Ave, 29th Floor Miami, FL. 33131. Providing backoffice support for customers. Starting JULY 30, 2019

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lorena Dayana Berthe-martinez'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

September 19, 2019 - Present

BOREAL CAPITAL MANAGEMENT LLC

Office #1: 1450 Brickell Avenue Suite 2900, Miami, FL 33131
RIA
CRD#: 112221
Miami, FL
Current

July 30, 2019 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131
BD
CRD#: 158599
Miami, FL
Past

June 1, 2009 - January 29, 2019

MORGAN STANLEY

RIA
CRD#: 149777
MIAMI, FL
Past

June 1, 2009 - January 29, 2019

MORGAN STANLEY

BD
CRD#: 149777
MIAMI, FL
Past

July 5, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MIAMI, FL
Past

April 2, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MIAMI, FL
Past

June 20, 2001 - August 22, 2001

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

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
(7/30/2019)
IAR
Florida
(9/19/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/29/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/1/2004
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/7/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/3/2006
General Securities Sales Supervisor - Options Module Examination
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)
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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)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BOREAL CAPITAL MANAGEMENT - FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts719
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.

Company Information

BOREAL CAPITAL MANAGEMENT LLC

CRD#: 112221Miami, FL 33131

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