FP
Fabiola E. Penaloza
CREDICORP CAPITAL ADVISORS LLC
Miami, FL 33131
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CRD#: 5528408
FP
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.
Ms. Fabiola Penaloza sole owner and director of a U.S. company called Artha Consulting LLC also known as "Art Glint". Her main role in this company is to advise on art, her compensation mostly derives from a percentage of sales from art galleries or a flat fee for organizing art related events. She devotes approximately 4 hours per month on this activity during non-business hours. Her compensation for this activity can fluctuate from 0 to $25,000 per year. Fabiola is also dually registered employee of Credicorp Capital Advisor, an affiliate of this BD, as an IAR and the she spends the majority of her time in this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Fabiola Elena Penaloza's 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®
NoneExperience
Current
June 16, 2020 - Present
CREDICORP CAPITAL ADVISORS LLC
Office #1: 1111 Brickell Avenue Suite 2825, Miami, FL 33131RIA
CRD#: 290081
Miami, FL
Current
May 1, 2020 - Present
CREDICORP CAPITAL LLC
Office #1: 1111 Brickell Avenue Suite 2825, Miami, FL 33131BD
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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
20
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 260 |
| AUM (Assets Under Management) | $ 983,368,510 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CREDICORP CAPITAL ADVISORS LLC
CRD#: 290081Miami, FL 33131TRUST BUT VERIFY
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