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JD

Juan P. Duque

ALIANZA CORP. INVESTMENT ADVISOR
MIAMI, FL 33135
Some features on this profile are disabled
CRD#: 4600322
JD

Professional summary

Juan Pablo Duque is a registered financial advisor currently at ALIANZA CORP. INVESTMENT ADVISOR located in Miami, Florida.

Juan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Juan has worked at 7 firms and has passed the Series 65, Series 66, Series 63, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Pablo Duque'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

May 12, 2026 - Present

ALIANZA CORP. INVESTMENT ADVISOR

Office #1: 175 Sw 7th St Suite 1703, Miami, FL 33135
RIA
CRD#: 323267
MIAMI, FL
Past

August 6, 2013 - August 23, 2017

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
AVENTURA, FL
Past

August 1, 2013 - August 23, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
AVENTURA, FL
Past

January 15, 2013 - August 2, 2013

BNP PARIBAS INVESTMENT SERVICES, LLC

BD
CRD#: 44598
MIAMI, FL
Past

March 8, 2011 - October 22, 2012

INTERBOLSA INVESTMENT MANAGEMENT LLC

RIA
CRD#: 154363
MIAMI, FL
Past

January 28, 2011 - October 22, 2012

INTERBOLSA SECURITIES, LLC

BD
CRD#: 150715
MIAMI, FL
Past

May 29, 2007 - April 27, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MIAMI BEACH, FL
Past

May 29, 2007 - April 27, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MIAMI BEACH, FL
Past

August 17, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
MIAMI BEACH, FL
Past

December 10, 2002 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
MIAMI BEACH, 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".
AI
ALIANZA CORP. INVESTMENT ADVISOR
ALIANZA CORP. INVESTMENT ADVISER | ALIANZA CORP. INVESTMENT ADVISOR

CRD#: 323267 / SEC#: 801-132892

RIA
Registered Investment Advisory firm - (5/30/2025 Approved)
Florida
Registered Investment Advisory firm - (3/18/2026 Terminated)

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.

Highlighted states indicate IAR registrations

IAR
Florida
(5/12/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/16/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/15/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/3/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/2/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/2002
General Securities Representative Examination

Current Firm

AI
ALIANZA CORP. INVESTMENT ADVISOR
ALIANZA CORP. INVESTMENT ADVISER | ALIANZA CORP. INVESTMENT ADVISOR

CRD#: 323267 / SEC#: 801-132892

RIA
Registered Investment Advisory firm - (5/30/2025 Approved)
Florida
Registered Investment Advisory firm - (3/18/2026 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
175 Sw 7th St Suite 1703, Miami, FL 33135
Mailing Address
Phone number
(954) 330-1741
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (1 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

ALIANZA ADV PART 2A BROCHURE 2025 (3/20/2026)
WRAP FEE BROCHURE (3/20/2026)

Regulatory assets under management

Total Number of Accounts1,207
AUM (Assets Under Management)$ 204,116,000

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

ALIANZA CORP. INVESTMENT ADVISOR

CRD#: 323267Miami, FL 33135

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