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Carlos A. Coll

CREDICORP CAPITAL LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4860091
CC

Professional summary

Carlos Andres Coll is a registered financial professional currently at CREDICORP CAPITAL LLC located in Miami, Florida.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2008. Carlos has worked at 1 firm and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Carlos Andres Coll'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

December 23, 2008 - Present

CREDICORP CAPITAL LLC

Office #1: 1111 Brickell Avenue Suite 2825, Miami, FL 33131Office #2: 1111 Brickell Avenue Suite 2825, Miami, FL 33131Office #3: Av. Apoquindo 3721-piso 9 Las Condes, SantiagoOffice #4: Carrera 7 #71-52, Torre B Piso 18, Bogota
BD
CRD#: 136791
Miami, FL

State Registrations and Notice Filings

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

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
Florida
(12/23/2008)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/7/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CREDICORP CAPITAL LLC
CREDICORP CAPITAL LLC | ULTRALAT SECURITIES, INC. | ULTRALAT SECURITIES INC. | ULTRALAT CORPORATION | ULTRALAT CAPITAL MARKETS, LLC | ULTRALAT CAPITAL MARKETS, INC. | ULTRALAT CAPITAL MARKETS INC. | ULTRALAT CAPITAL MARKETS

CRD#: 136791 / SEC#: , 8-67048

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

Main Address
1111 Brickell Avenue Suite 2825, Miami, FL 33131
Mailing Address
1111 Brickell Avenue Suite 2825, Miami, FL 33131
Phone number
(305) 455-0971
Established
Florida since 05/02/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CREDICORP CAPITAL USA, INCMEMBER
COLL, CARLOS ANDRESCHIEF EXECUTIVE OFFICER / CHIEF OPERATIONS OFFICER / DIRECTOR4860091
DE LA ESPRIELLA, ARTUROCCO/AMLCO5066709
SINGER, STEVEN FREDERICFINOP CFO2360737

Disclosures

Regulatory Event5

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

CREDICORP CAPITAL LLC

CRD#: 136791Miami, FL 33131

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