Juan P. Penaloza

OCEAN FINANCIAL ADVISORS LLC

MIAMI, FL 33126

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CRD#: 4777439

Professional summary

Juan Pablo Penaloza is a registered financial advisor currently at OCEAN FINANCIAL ADVISORS LLC located in Miami, Florida and OCEAN FINANCIAL SERVICES, LLC located in Miami, Florida.

Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Juan 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.

NAME OF BUSINESS: OCEAN BANK; COMPANY LOCATION: MIAMI FL; INVESTMENT-REALTED; NATURE OF BUSINESS: BANKING; POSITION: OFFICER, INVESTMENT PRODUCT SPECIALIST; HIRE DATE: 10/ 01/2014; APPROX NUMBER OF HOURS PER MONTH 20H. COMPANY NAME: OCEAN FINANCIAL ADVISORS, LLC; INVESTMENT RELATED; PURPOSE OF BUSINESS: ADVISORY SERVICES; HIRE DATE: 03/30/2021; APPROX NUMBER OF HOURS A MONTH: 20H; COMPANY LOCATION: MIAMI FL, POSITION: FINANCIAL ADVISER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Pablo Penaloza'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®

None

Experience

Current

April 1, 2021 - Present

OCEAN FINANCIAL ADVISORS LLC

Office #1: 780 Nw 42nd Avenue Suite 500, Miami, FL 33126

RIA

CRD#: 291950

MIAMI, FL

Current

October 3, 2014 - Present

OCEAN FINANCIAL SERVICES, LLC

Office #1: 780 Nw 42nd Avenue, Suite 500, Miami, FL 33126

CRD#: 164289

MIAMI, FL

Past

April 2, 2013 - October 8, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CORAL GABLES, FL

Past

December 1, 2008 - March 28, 2013

DIRECT ACCESS PARTNERS LLC

CRD#: 120950

NEW YORK, NY

Past

December 7, 2006 - November 3, 2008

LIGHTHOUSE FINANCIAL GROUP, LLC

CRD#: 103734

MIAMI, FL

Past

November 18, 2004 - October 13, 2006

US TRADING LLC

CRD#: 37426

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.

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

California
(8/20/2019)

Florida
(10/3/2014)

IAR

Florida
(4/1/2021)

New York
(8/20/2019)

Texas
(8/20/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/9/2019

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: 11/17/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OCEAN FINANCIAL ADVISORS LLC

CRD#: 291950 / SEC#:

Florida

Registered Investment Advisory firm - (11/20/2018 Approved)

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Contact information

Main Address

780 Nw 42nd Avenue Suite 500, Miami, FL 33126

Mailing Address

Phone number

(305) 461-6940

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 8,483,795

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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Juan P. Penaloza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Pablo Penaloza's CRS (Customer Relationship Summary).

Certified licenses

Experience

OCEAN FINANCIAL ADVISORS LLC

OCEAN FINANCIAL SERVICES, LLC

UBS FINANCIAL SERVICES INC.

DIRECT ACCESS PARTNERS LLC

LIGHTHOUSE FINANCIAL GROUP, LLC

US TRADING LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2019

SIE

Date: 10/1/2018

Series 7

Date: 11/17/2004

FINRA

Current Firm

OCEAN FINANCIAL ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OCEAN FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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