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LB

Lorena D. Berthe-martinez

Some features on this profile are disabled
CRD#: 4207106
LB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lorena Dayana Berthe-martinez, who also goes by Lorena Dayana Berthe, was a registered financial professional .

Lorena is a previously registered financial professional and started their career in finance in 2001. Lorena had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 19, 2019 - December 8, 2025

BOREAL CAPITAL MANAGEMENT LLC

RIA
CRD#: 112221
MIAMI, FL
Past

July 30, 2019 - December 8, 2025

BOREAL CAPITAL SECURITIES LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

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 (12 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#: 112221

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