Miguel A. Gras

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CRD#: 4607319

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Miguel Alberto Gras, who also goes by Miguel Gras, was a registered financial professional .

Miguel is a previously registered financial professional and started their career in finance in 2002. Miguel had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Miguel Gras

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.

Minority owner of Saga LLC located at 2592 Overbrook St Miami, Fl 33133. Company does restaurant development and real estate investing and funding. Rep has no responsibilities and no day to day involvement in this non-securities related business. Business is run and managed completely by majority owners. Zero hours devoted to this business during securities trading hours

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 1, 2011 - January 16, 2024

AMERANT INVESTMENTS, INC.

RIA

CRD#: 117284

Aventura, FL

Past

November 12, 2008 - January 16, 2024

AMERANT INVESTMENTS, INC.

CRD#: 117284

Aventura, FL

Past

December 5, 2002 - February 4, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 5, 2002 - February 4, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

AMERANT INVESTMENTS, INC.

CRD#: 117284 / SEC#: 801-61889, 8-53612

RIA

Registered Investment Advisory firm - SEC (8/9/2002 Approved)

Florida

Registered Investment Advisory firm - SEC (8/19/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (8/9/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/24/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/3/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/19/2018

General Securities Principal Examination

Current Firm

AMERANT INVESTMENTS, INC.

CRD#: 117284 / SEC#: 801-61889, 8-53612

RIA

Registered Investment Advisory firm - SEC (8/9/2002 Approved)

Florida

Registered Investment Advisory firm - SEC (8/19/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (8/9/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134

Mailing Address

220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134

Phone number

(305) 460-8599

Established

Delaware since 07/24/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (8 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 6-25 (6/24/2025)

WRAP BROCHURE 9-24 (3/20/2025)

Direct owners and executive officers

Name	Position	CRD#
AMERANT BANK, N.A.	SHAREHOLDER
CALDERON YEPEZ, SHARYMAR EGLLEE	DIRECTOR	7809045
CAPRILES, ALBERTO MANUEL	DIRECTOR	6998024
GARGANTA, ANDRES JOSE	DIRECTOR	5483075
GUERRERO, SERGIO EMILIANO MR.	COO & FINOP	5718350
IAFIGLIOLA, CARLOS	DIRECTOR	7285620
LUCAS, EMERIS DEL VALLE	BRANCH MANAGER	5193416
RESTREPO, JOSE VICENTE	CCO	6148942

Regulatory assets under management

Total Number of Accounts	1,194
AUM (Assets Under Management)	$ 688,203,169

Disclosures

Regulatory Event

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

Miguel A. Gras

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERANT INVESTMENTS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AMERANT INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2009

SIE

Date: 10/1/2018

Series 7

Date: 11/11/2008

Series 6

Date: 12/3/2002

Series 24

Date: 6/19/2018

Current Firm

AMERANT INVESTMENTS, INC.

Contact information

SEC notice filing (8 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERANT INVESTMENTS, INC.

TRUST BUT VERIFY

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