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Fabiola E. Penaloza

CREDICORP CAPITAL ADVISORS
MIAMI, FL 33131
CRD#: 5528408
Some features on this profile are disabled
FP
Fabiola Elena PenalozaCREDICORP CAPITAL ADVISORS

Professional summary

Fabiola Elena Penaloza, who also goes by Fabiola E Penaloza, is a registered financial advisor currently at CREDICORP CAPITAL ADVISORS LLC located in Miami, Florida and CREDICORP CAPITAL LLC located in Miami, Florida.

Fabiola is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Fabiola has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Fabiola E Penaloza

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 Fabiola Elena Penaloza'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

June 16, 2020 - Present

CREDICORP CAPITAL ADVISORS LLC

Office #1: 1111 Brickell Avenue Suite 2825, Miami, FL 33131
RIA
CRD#: 290081
MIAMI, FL
Current

May 1, 2020 - Present

CREDICORP CAPITAL LLC

Office #1: 1111 Brickell Avenue Suite 2825, Miami, FL 33131
BD
CRD#: 136791
MIAMI, FL
Past

September 20, 2018 - March 23, 2020

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
Miami, FL
Past

February 6, 2009 - April 5, 2010

STANCHART SECURITIES INTERNATIONAL, INC.

BD
CRD#: 145126
MIAMI, FL
Past

October 16, 2008 - January 26, 2009

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
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".
CC
CREDICORP CAPITAL ADVISORS LLC
CREDICORP CAPITAL ADVISORS LLC | VICCTUS MULTI FAMILY OFFICE | ULTRALAT INVESTMENT ADVISOR | ULTRAADVISORS, LLC | ULTRAADVISORS CORP. | ULTRAADVISORS | CREDICORP CAPITAL INVEST

CRD#: 290081 / SEC#: 801-122281

RIA
Registered Investment Advisory firm - (9/9/2021 Approved)
Florida
Registered Investment Advisory firm - (9/13/2021 Terminated)

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.
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
Connecticut
(1/10/2022)
RR
Florida
(5/1/2020)
IAR
Florida
(6/16/2020)
RR
New Hampshire
(11/18/2020)
RR
New York
(10/11/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/10/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/15/2018
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: 9/20/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CREDICORP CAPITAL ADVISORS LLC
CREDICORP CAPITAL ADVISORS LLC | VICCTUS MULTI FAMILY OFFICE | ULTRALAT INVESTMENT ADVISOR | ULTRAADVISORS, LLC | ULTRAADVISORS CORP. | ULTRAADVISORS | CREDICORP CAPITAL INVEST

CRD#: 290081 / SEC#: 801-122281

RIA
Registered Investment Advisory firm - (9/9/2021 Approved)
Florida
Registered Investment Advisory firm - (9/13/2021 Terminated)
Loading...

Contact information

Main Address
1111 Brickell Avenue Suite 2825, Miami, FL 33131
Mailing Address
Phone number
(305) 455-0975
Established
Firm type
Fiscal year end
# of Employees
26

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CREDICORP CAPITAL ADVISORS LLC - WRAP BROCHURE (3/17/2026)

Regulatory assets under management

Total Number of Accounts369
AUM (Assets Under Management)$ 1,579,910,107

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 ADVISORS LLC

CRD#: 290081Miami, FL 33131

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