Victor A. Sopena

OSSIA IM

Miami, FL 33131

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CRD#: 4659418

Professional summary

Victor Alejandro Sopena, who also goes by VIctor Sopena, is a registered financial advisor currently at OSSIA IM located in Miami, Florida.

Victor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Victor has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Victor Sopena

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.

Entity Name: Roystonea LLC Investment related: No Address: Miami, FL Nature of the other business: The LLC is a vehicle to make crypto investments for my IRA Position/Title/Relationship: Sole Proprietor/Sole Investor Start Date: 30-Jul-2019 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Passive investor. Entity Name: Radiate Miami LLC Investment related: No Address: Miami, FL Nature of the other business: manufacturer of specialized drinks. Position/Title/Relationship: Strategic Advisor Start Date: Aug 2024 Approximate # of hours a month: 5 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Provide some strategic advice and support. Entity Name: Lightside Investments LLC Investment related: No Address: Miami, FL Nature of the other business: Vehicle for personal investments in other private companies. Position/Title/Relationship: Manager/Member Start Date: Apr 2024 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Manager and Passive Investor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Victor Alejandro Sopena'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

March 20, 2024 - Present

OSSIA IM

Office #1: 1200 Brickell Avenue Suite 1950 #1331, Miami, FL 33131

RIA

CRD#: 329936

Miami, FL

Past

December 21, 2022 - February 8, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Miami, FL

Past

September 20, 2016 - February 8, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

Miami, FL

Past

July 2, 2009 - April 20, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

MIAMI, FL

Past

February 12, 2009 - June 16, 2009

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

May 7, 2003 - April 3, 2007

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

MIAMI, FL

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
(3/20/2024)

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 65

Date: 12/21/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/4/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/5/2003

General Securities Representative Examination

Current Firm

OSSIA IM

OSSIA IM | OSSIA INVESTMENT MANAGEMENT LLC

CRD#: 329936 / SEC#: 801-129559

RIA

Registered Investment Advisory firm - (3/5/2025 Terminated)

Florida

Registered Investment Advisory firm - (11/4/2024 Approved)

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).

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Contact information

Main Address

1200 Brickell Avenue Suite 1950 #1331, Miami, FL 33131

Mailing Address

Phone number

(305) 923-7212

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 85,000,000

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.

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Firm Stability Insights

Victor A. Sopena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Victor Alejandro Sopena's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/2022

Series 63

Date: 9/10/2004

SIE

Date: 10/1/2018

Series 55

Date: 8/4/2003

Series 7

Date: 5/5/2003

Current Firm

OSSIA IM

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OSSIA IM

TRUST BUT VERIFY

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