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Isaac Maya

UNITED CAPITAL MARKETS
Miami, FL 33133
Some features on this profile are disabled
CRD#: 4943793
IM

Professional summary

Isaac Maya is a registered financial professional currently at UNITED CAPITAL MARKETS, INC. located in Miami, Florida.

Isaac is registered as a RR (Registered Representative) and started their career in finance in 2005. Isaac has worked at 3 firms and has passed the Series 63, SIE and Series 7 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 Isaac Maya'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 10, 2021 - Present

UNITED CAPITAL MARKETS, INC.

Office #1: 2665 S. Bayshore Dr. Phe1, Miami, FL 33133
BD
CRD#: 40980
Miami, FL
Past

July 9, 2018 - May 28, 2019

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, NY
Past

April 25, 2017 - July 9, 2018

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

November 1, 2005 - June 29, 2007

UNITED CAPITAL MARKETS, INC.

BD
CRD#: 40980
KEY BISCAYNE, 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
Colorado
(3/10/2021)
RR
Florida
(3/10/2021)
RR
New Jersey
(3/10/2021)
RR
New York
(3/10/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/8/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UC
UNITED CAPITAL MARKETS, INC.
TRUSTCAP SECURITIES GROUP, INC. | UNITED CAPITAL MARKETS, INC.

CRD#: 40980 / SEC#: , 8-49253

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

Main Address
2665 S. Bayshore Dr. Phe 1, Miami, FL 33133
Mailing Address
2665 S. Bayshore Dr. Phe 1, Miami, FL 33133
Phone number
(305) 365-0527
Established
Florida since 03/19/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UNITED CAPITAL MARKETS HOLDINGS, INC.SHAREHOLDER
BEZZINA, CATHERINECCO,AML OFFICER,DEO1288036
DEVANEY, DENNIS JOHNCO-CCO, COO, GP, CEO, PRESIDENT, HEAD TRADER2537936
NELSON, MICHAEL DOUGLASCFO, FINOP6549497

Disclosures

Regulatory Event2

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

UNITED CAPITAL MARKETS, INC.

CRD#: 40980Miami, FL 33133

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