CT
Carolina Thompson
INSIGNEO ADVISORY SERVICES
Miami, FL 33131
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CRD#: 4754435
CT
Professional summary
Carolina Thompson is a registered financial advisor currently at INSIGNEO ADVISORY SERVICES, LLC located in Miami, Florida and INSIGNEO SECURITIES, LLC located in Miami, Florida.
Carolina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Carolina has worked at 6 firms and has passed the Series 66, 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.
-INSIGNEO ADVISORY SERVICES LLC Dually registered since February 2023. Advisory services, Investment related. 15-20 hours approximately devoted to this business and during trading hours. Financial Advisor. -LEGACY ADVISORY GROUP (DBA) FL-US Filed date: 06/26/2023_No registered entity_A name used as branding_For brokerage and Advisory. -THOMPSON WEALTH ADVISORY_Non-Securities related / Address: Aventura, FL / Nature: Pass through for tax purposes. / Position: President and 100% ownership / Start date: 03/2023 / Devote: 40 hrs/month and 40 hrs/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Carolina Thompson's 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®
NoneExperience
Current
March 22, 2023 - Present
INSIGNEO ADVISORY SERVICES, LLC
Office #1: 1221 Brickell Avenue 27th Floor, Miami, FL 33131RIA
CRD#: 282589
Miami, FL
Current
February 28, 2023 - Present
INSIGNEO SECURITIES, LLC
Office #1: 1221 Brickell Ave 27th Floor, Miami, FL 33131BD
CRD#: 29249
Miami, FL
Past
December 6, 2019 - February 27, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Aventura, FL
Past
December 6, 2019 - February 27, 2023
MORGAN STANLEY
BD
CRD#: 149777
Aventura, FL
Past
January 1, 2010 - December 19, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CORAL GABLES, FL
Past
January 1, 2010 - December 19, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CORAL GABLES, FL
Past
May 26, 2009 - January 1, 2010
UBS INTERNATIONAL INC.
RIA
CRD#: 107726
CORAL GABLES, FL
Past
May 12, 2009 - January 1, 2010
UBS INTERNATIONAL INC.
BD
CRD#: 107726
CORAL GABLES, FL
Past
October 23, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AVENTURA, FL
Past
October 20, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
AVENTURA, FL
Past
November 29, 2004 - October 25, 2006
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
MIAMI, FL
Past
January 30, 2004 - October 25, 2006
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
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".
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
Registered Investment Advisory firm - (2/22/2016 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
Colorado(2/28/2023)
IAR
Colorado(3/22/2023)
RR
Florida(2/28/2023)
IAR
Florida(3/22/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
Registered Investment Advisory firm - (2/22/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1221 Brickell Avenue 27th Floor, Miami, FL 33131
Mailing Address
Phone number
(305) 373-9000
Established
Firm type
Fiscal year end
# of Employees
197
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,142 |
| AUM (Assets Under Management) | $ 3,612,629,819 |
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
INSIGNEO ADVISORY SERVICES, LLC
CRD#: 282589Miami, FL 33131TRUST BUT VERIFY
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