Luis A. Delgado

BOREAL CAPITAL MANAGEMENT LLC

Miami, FL 33131

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CRD#: 4990149

Professional summary

Luis Antonio Delgado is a registered financial advisor currently at BOREAL CAPITAL MANAGEMENT LLC located in Miami, Florida and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Luis has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 51, Series 4 and Series 24 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.

08/20/2021 - LADC CAPITAL MANAGEMENT LLC (9806 NW 51st Terrace Miami FL 33178) TIME SPENT APPROXIMATELY 3-4 HOURS WEEKLY DURING NON TRADING HOURS AS THE MANAGER OF THE LLC USED TO PROVIDE INSURANCE SOLUTIONS ON THE SALE OF LIFE INSURANCE AND ANNUITY PRODUCTS. Florida LIFE INSURANCE LICENSE EITH EXTERNAL INSURANCE COMPANY HOLDING LICENSE FOR WHEN CLIENTS SHOWING INTEREST IN THOSE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Antonio Delgado'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

September 15, 2021 - Present

BOREAL CAPITAL MANAGEMENT LLC

Office #1: 1450 Brickell Avenue Suite 2900, Miami, FL 33131

RIA

CRD#: 112221

Miami, FL

Current

June 14, 2021 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131

CRD#: 158599

Miami, FL

Past

October 23, 2012 - June 21, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DORAL, FL

Past

October 19, 2012 - June 21, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DORAL, FL

Past

October 1, 2012 - October 25, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

MIAMI, FL

Past

October 1, 2012 - October 25, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

MIAMI, FL

Past

March 8, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

MIAMI, FL

Past

March 3, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MIAMI, FL

Past

September 16, 2009 - February 23, 2010

STATETRUST INVESTMENTS INC.

CRD#: 104651

BOCA RATON, FL

Past

January 10, 2006 - April 14, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BOCA RATON, FL

Past

January 9, 2006 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 9, 2006 - April 14, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BOCA RATON, 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".

BOREAL CAPITAL MANAGEMENT LLC

BOREAL CAPITAL MANAGEMENT LLC | PRS LATAM LLC | MORA WEALTH MANAGEMENT LLC | INTRACOASTAL FAMILY OFFICE

CRD#: 112221 / SEC#: 801-57604

RIA

Registered Investment Advisory firm - (6/9/2000 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.

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

Florida
(6/14/2021)

IAR

Florida
(9/15/2021)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 11/3/2005

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: 1/6/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 7/1/2008

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/15/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BOREAL CAPITAL MANAGEMENT LLC

BOREAL CAPITAL MANAGEMENT LLC | PRS LATAM LLC | MORA WEALTH MANAGEMENT LLC | INTRACOASTAL FAMILY OFFICE

CRD#: 112221 / SEC#: 801-57604

RIA

Registered Investment Advisory firm - (6/9/2000 Approved)

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Contact information

Main Address

1450 Brickell Avenue Suite 2900, Miami, FL 33131

Mailing Address

Phone number

(305) 459-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOREAL CAPITAL MANAGEMENT - FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	719
AUM (Assets Under Management)	$ 1,839,898,461

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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Firm Stability Insights

Luis A. Delgado

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Antonio Delgado's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOREAL CAPITAL SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

STATETRUST INVESTMENTS INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BOREAL CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2005

SIE

Date: 10/1/2018

Series 7

Date: 1/6/2006

Series 51

Date: 7/1/2008

Series 4

Date: 4/15/2008

Series 24

Date: 3/19/2007

FINRA

Current Firm

BOREAL CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BOREAL CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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