Ana C. Arnau

ANDBANC ADVISORY LLC

Miami, FL 33131

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CRD#: 5544912

Professional summary

Ana Carolina Arnau, who also goes by Ana C Arnau, is a registered financial advisor currently at ANDBANC ADVISORY LLC located in Miami, Florida and ANDBANC BROKERAGE, LLC located in Miami, Florida.

Ana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Ana has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ana C Arnau

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.

START DATE: 05/2014. ACT IN AN ADMINISTRATIVE CAPACITY FOR AFFILIATE RIA, MORA WEALTH MANAGEMENT. (CRD NO. 112221) MINIMAL TIME SPENT. PERFORMS FUNCTION IN THE ABSENCE OF MANAGEMENT PERSONS. NO ADDITIONAL COMPENSATION RECEIVED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ana Carolina Arnau'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

August 29, 2024 - Present

ANDBANC ADVISORY LLC

Office #1: 201 S. Biscayne Blvd. Suite 1100, Miami, FL 33131

RIA

CRD#: 150463

Miami, FL

Current

August 5, 2024 - Present

ANDBANC BROKERAGE, LLC

Office #1: 201 S. Biscayne Boulevard, Suite 1100, Miami, FL 33131

CRD#: 155979

Miami, FL

Past

July 1, 2024 - August 7, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Miami, FL

Past

June 5, 2024 - August 7, 2024

MORGAN STANLEY

CRD#: 149777

Miami, FL

Past

March 27, 2024 - June 14, 2024

ANDBANC BROKERAGE, LLC

CRD#: 155979

MIAMI, FL

Past

March 10, 2022 - March 22, 2024

BOREAL CAPITAL MANAGEMENT LLC

RIA

CRD#: 112221

MIAMI, FL

Past

November 8, 2012 - March 22, 2024

BOREAL CAPITAL SECURITIES LLC

CRD#: 158599

MIAMI, FL

Past

July 1, 2010 - November 7, 2012

CREAND SECURITIES

CRD#: 38964

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".

ANDBANC ADVISORY LLC

ANDBANC ADVISORY LLC | SEA CAPITAL ADVISORS LLC | NAME1001

CRD#: 150463 / SEC#: 801-79716

RIA

Registered Investment Advisory firm - (5/19/2014 Approved)

Florida

Registered Investment Advisory firm - (6/30/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(8/5/2024)

IAR

Florida
(8/29/2024)

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

Series 63

Date: 6/1/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/31/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ANDBANC ADVISORY LLC

ANDBANC ADVISORY LLC | SEA CAPITAL ADVISORS LLC | NAME1001

CRD#: 150463 / SEC#: 801-79716

RIA

Registered Investment Advisory firm - (5/19/2014 Approved)

Florida

Registered Investment Advisory firm - (6/30/2014 Terminated)

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Contact information

Main Address

201 S. Biscayne Blvd. Suite 1100, Miami, FL 33131

Mailing Address

Phone number

(305) 702-0601

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANDBANC ADVISORY LLC ADV BROCHURE (5/13/2025)

Regulatory assets under management

Total Number of Accounts	509
AUM (Assets Under Management)	$ 871,799,895

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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Ana C. Arnau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ana Carolina Arnau's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANDBANC BROKERAGE, LLC

MORGAN STANLEY

MORGAN STANLEY

ANDBANC BROKERAGE, LLC

BOREAL CAPITAL MANAGEMENT LLC

BOREAL CAPITAL SECURITIES LLC

CREAND SECURITIES

Primary Firm SEC Registration

ANDBANC ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/1/2024

Series 65

Date: 1/31/2022

SIE

Date: 10/1/2018

Series 7

Date: 6/30/2010

FINRA

Current Firm

ANDBANC ADVISORY LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANDBANC ADVISORY LLC

TRUST BUT VERIFY

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