Carlos A. Pedroso

SIERRA CAPITAL LLC

MIAMI, FL 33131

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CRD#: 4869337

Professional summary

Carlos Alfonso Pedroso, who also goes by Carlos A. Pedroso, is a registered financial advisor currently at SIERRA CAPITAL LLC located in Miami, Florida.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Carlos has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos A. Pedroso

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) - RIA

Click below to view Carlos Alfonso Pedroso'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

May 12, 2021 - Present

SIERRA CAPITAL LLC

Office #1: 600 Brickell Avenue Suite 2020, Miami, FL 33131

RIA

CRD#: 110129

MIAMI, FL

Past

September 27, 2019 - December 9, 2021

PANGEA ASESORES LLC

RIA

CRD#: 305323

MIAMI, FL

Past

November 10, 2004 - September 20, 2007

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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".

SIERRA CAPITAL LLC

PANGEA ADVISORS | SIERRA CAPITAL PARTNERS, LLC | SIERRA CAPITAL LLC | PANGEA ASESORES

CRD#: 110129 / SEC#: 801-57691

RIA

Registered Investment Advisory firm - (6/28/2000 Approved)

New York

Registered Investment Advisory firm - (5/6/2008 Cancelled)

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
(5/12/2021)

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: 9/11/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/9/2004

General Securities Representative Examination

Current Firm

SIERRA CAPITAL LLC

PANGEA ADVISORS | SIERRA CAPITAL PARTNERS, LLC | SIERRA CAPITAL LLC | PANGEA ASESORES

CRD#: 110129 / SEC#: 801-57691

RIA

Registered Investment Advisory firm - (6/28/2000 Approved)

New York

Registered Investment Advisory firm - (5/6/2008 Cancelled)

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Contact information

Main Address

600 Brickell Avenue Ste. 2020, Miami, FL 33131

Mailing Address

Phone number

(212) 867-3533

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIERRA CAPITAL (9/19/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 1,501,093,928

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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Carlos A. Pedroso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alfonso Pedroso's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIERRA CAPITAL LLC

PANGEA ASESORES LLC

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

SIERRA CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2019

Series 63

Date: 12/7/2004

Series 7

Date: 11/9/2004

Current Firm

SIERRA CAPITAL LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIERRA CAPITAL LLC

TRUST BUT VERIFY

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