Alma Estrada

UCAP AMERICAS

Miami, FL 33131

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CRD#: 4359708

Professional summary

Alma Estrada is a registered financial advisor currently at UCAP AMERICAS located in Miami, Florida and UCAP AMERICAS located in Miami, Florida.

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

Alma is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Alma is assistant to an FA Registered Representative. She is also registered with UCAP Asset Management LLC, affiliate IA, she is an assistant to a IAR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alma Estrada'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

October 27, 2021 - Present

UCAP AMERICAS

Office #1: 1221 Brickell Avenue Suite 2040, Miami, FL 33131

RIA

CRD#: 170846

Miami, FL

Current

October 20, 2021 - Present

UCAP AMERICAS

Office #1: 1221 Brickell Avenue Suite 2040, Miami, FL 33131

CRD#: 173643

Miami, FL

Past

July 1, 2003 - November 3, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

July 1, 2003 - November 3, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMI, FL

Past

April 14, 2003 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

MIAMI, FL

Past

August 13, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 13, 2001 - August 16, 2002

COUTTS SECURITIES INC.

CRD#: 105260

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".

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.

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

California
(10/20/2021)

Colorado
(10/20/2021)

Florida
(10/20/2021)

IAR

Florida
(10/27/2021)

Georgia
(8/11/2022)

Texas
(10/20/2021)

Virginia
(10/20/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/5/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/29/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/12/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UCAP ASSET MANAGEMENT LLC PART 2A BROCHURE (3/26/2025)

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.

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Firm Stability Insights

Alma Estrada

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alma Estrada's CRS (Customer Relationship Summary).

Certified licenses

Experience

UCAP AMERICAS

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

COUTTS SECURITIES INC.

Primary Firm SEC Registration

UCAP AMERICAS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/5/2003

SIE

Date: 10/1/2018

Series 3

Date: 4/29/2005

Series 7

Date: 6/12/2001

FINRA

Current Firm

UCAP AMERICAS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UCAP AMERICAS

TRUST BUT VERIFY

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