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EC

Ernesto Cordovez

BOREAL CAPITAL MANAGEMENT LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4510514
EC

Professional summary

Ernesto Cordovez, who also goes by Jorge Ernesto Cordovez, is a registered financial advisor currently at BOREAL CAPITAL MANAGEMENT LLC located in Miami, Florida and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Ernesto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Ernesto has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jorge Ernesto Cordovez

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) - RIA

Click below to view Ernesto Cordovez'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

November 19, 2019 - Present

BOREAL CAPITAL MANAGEMENT LLC

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

January 9, 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

November 21, 2014 - June 29, 2018

SAFRA SECURITIES LLC

BD
CRD#: 47873
AVENTURA, FL
Past

January 1, 2005 - October 28, 2014

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
MIAMI, FL
Past

May 14, 2002 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY

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
(1/9/2019)
IAR
Florida
(11/19/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/8/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/2002
General Securities Representative 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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