Emmanuel M. Casuscelli

UCAP AMERICAS

Miami, FL 33131

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CRD#: 5036738

Professional summary

Emmanuel M Casuscelli, who also goes by Emmanuel Marino Casuscelli, is a registered financial advisor currently at UCAP AMERICAS located in Miami, Florida and UCAP AMERICAS located in Miami, Florida.

Emmanuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Emmanuel has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emmanuel Marino Casuscelli

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.

Mr. Emmanuel M. Cassuscelli is Managing Member and 100% beneficial owner of Condor Point Capital LLC. Condor Point Capital is a personal investment company and does not engage in securities related activities. Emanuel is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Conflict of interests may take place when trades executed for advisory clients' portfolio being directed to UCAP Securities LLC. UCAP Asset Management, LLC Compliance Manual addresses this and other applicable potential conflicts of interests with respective policies and procedures in place. In general, IAR does not receive additional compensation for directing trades to the affiliated broker-dealer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emmanuel M Casuscelli'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 5, 2019 - Present

UCAP AMERICAS

Office #1: 1001 Brickell Bay Drive Suite 1714, Miami, FL 33131

RIA

CRD#: 170846

Miami, FL

Current

March 21, 2017 - Present

UCAP AMERICAS

Office #1: 1221 Brickell Ave Suite 2040, Miami, FL 33131

CRD#: 173643

Miami, FL

Past

May 20, 2014 - March 14, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MIAMI, FL

Past

April 9, 2014 - March 14, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MIAMI, FL

Past

October 27, 2010 - March 31, 2014

CG COMPASS (USA) LLC

CRD#: 129837

MIAMI, 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".

UCAP AMERICAS

UCAP AMERICAS | UNION CAPITAL GROUP | UCAPAMERICAS | UCAP ASSET MANAGEMENT LLC

CRD#: 170846 / SEC#: 801-79625

RIA

Registered Investment Advisory firm - (5/6/2014 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

California
(3/21/2017)

Connecticut
(3/21/2017)

Florida
(3/21/2017)

IAR

Florida
(3/5/2019)

New York
(3/21/2017)

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 65

Date: 5/19/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

UCAP AMERICAS

UCAP AMERICAS | UNION CAPITAL GROUP | UCAPAMERICAS | UCAP ASSET MANAGEMENT LLC

CRD#: 170846 / SEC#: 801-79625

RIA

Registered Investment Advisory firm - (5/6/2014 Approved)

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Contact information

Main Address

1221 Brickell Avenue Suite 2040, Miami, FL 33131

Mailing Address

1221 Brickell Ave Suite 2040, Miami, FL 33131

Phone number

(646) 809-3600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UCAP ASSET MANAGEMENT LLC PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 165,941,851

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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Emmanuel M. Casuscelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emmanuel M Casuscelli's CRS (Customer Relationship Summary).

Certified licenses

Experience

UCAP AMERICAS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CG COMPASS (USA) LLC

Primary Firm SEC Registration

UCAP AMERICAS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2014

Series 63

Date: 12/6/2010

SIE

Date: 10/1/2018

Series 7

Date: 10/25/2010

FINRA

Current Firm

UCAP AMERICAS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UCAP AMERICAS

TRUST BUT VERIFY

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