MM
Marco A. Moreno
BOREAL CAPITAL MANAGEMENT LLC
Miami, FL 33131
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CRD#: 4320011
MM
Professional summary
Marco Antonio Moreno is a registered financial advisor currently at BOREAL CAPITAL MANAGEMENT LLC located in Miami, Florida and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.
Marco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Marco has worked at 5 firms and has passed the Series 65, Series 66, 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.
1) MORA WEALTH MANAGEMENT, LLC (SEC REGISTERED INVESTMENT ADVISER) LOCATED AT 1450 BRICKELL AVENUE, SUITE 2900 MIAMI, FLORIDA 33131. 2) CHINA INVESTMENT VENTURE. 777 BRICKEL AVENUE SUITE 1201 MIAMI, FL. MARCO IS A LIMITED PARTNER AND PASSIVE INVESTOR SINCE MARCH 2010. NO TIME IS ALLOCATED TO THIS ACTIVITY. 3) Ebusus Partners LLC - invested 12.8% (capital) in Turegano Thius S.L. in February 2024. I am the sole owner of the LLC. Turegano Thius subsequently acquired an investment property located in Carrascal de la Cuesta, Segovia, Spain. No Time devoted or none during business hours. 4) START DATE: 07/2014. APPOINTED SUCCESSOR TRUSTEE FOR FIRM CUSTOMER ACCOUNT, GERHARD KUTI. NO ADDITIONAL COMPENSATION RECEIVED RELATED TO THIS ACTIVITY. NO TIME DEVOTED TO THIS ACTIVITY AS WELL.
CRS (Client Relationship Summary) - RIA
Click below to view Marco Antonio Moreno'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 14, 2014 - Present
BOREAL CAPITAL MANAGEMENT LLC
Office #1: 1450 Brickell Avenue Suite 2900, Miami, FL 33131RIA
CRD#: 112221
Miami, FL
Current
November 8, 2012 - Present
BOREAL CAPITAL SECURITIES LLC
Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131BD
CRD#: 158599
Miami, FL
Past
April 6, 2006 - November 7, 2012
CREAND SECURITIES
BD
CRD#: 38964
MIAMI, FL
Past
January 8, 2002 - April 5, 2006
ICBC STANDARD SECURITIES INC.
BD
CRD#: 35560
NEW YORK, NY
Past
February 1, 2001 - November 14, 2001
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
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
Arizona(11/20/2012)
IAR
Arizona(5/12/2015)
RR
California(11/8/2012)
RR
Delaware(11/30/2015)
IAR
Delaware(11/30/2015)
RR
Florida(11/8/2012)
IAR
Florida(2/14/2014)
RR
Kansas(12/12/2012)
IAR
Kansas(11/30/2015)
IAR
Maine(4/27/2015)
RR
Missouri(12/4/2012)
IAR
Missouri(11/30/2015)
RR
New York(11/8/2012)
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
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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)
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.
Company Information
BOREAL CAPITAL MANAGEMENT LLC
CRD#: 112221Miami, FL 33131TRUST BUT VERIFY
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