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AE

Alma Estrada

UCAP AMERICAS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4359708
AE

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.

top-8-questions

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
BD
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

BD
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

BD
CRD#: 7471
NEW YORK, NY
Past

June 13, 2001 - August 16, 2002

COUTTS SECURITIES INC.

BD
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".
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

RR
California
(10/20/2021)
RR
Colorado
(10/20/2021)
RR
Florida
(10/20/2021)
IAR
Florida
(10/27/2021)
RR
Georgia
(8/11/2022)
RR
Texas
(10/20/2021)
RR
Virginia
(10/20/2021)

Exams


State Security Law Exam
RR
IAR
Series 66
Date: 4/5/2003
Uniform Combined State Law Examination
General Industry/Product 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)
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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
10

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

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

Regulatory assets under management


Total Number of Accounts178
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 33131

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