AP
Ana M. Parra
UCAP AMERICAS
Miami, FL 33131
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CRD#: 5626756
AP
Professional summary
Ana Maria Parra, who also goes by Ana M Parra, is a registered financial advisor currently at UCAP AMERICAS located in Miami, Florida and UCAP AMERICAS located in Miami, Florida.
Ana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Ana has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ana M Parra
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.
Ana Maria is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Ana is a Financial Advisor at UCAP Asset Management LLC, an affiliated Investment Advisor Firm; investment related. 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. Ana Maria is not actively engaged in any non-investment-related business or occupation for compensation. Ana Maria a is the owner of a Florida corporation called Amaazonas Investments Corp. This entity is passive and has no commercial activity. It was established for the purpose of receiving Ana's advisory commissions from her employer. Ana spends 0% of her time on this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ana Maria Parra'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
August 31, 2021 - Present
UCAP AMERICAS
Office #1: 1221 Brickell Avenue Suite 2040, Miami, FL 33131RIA
CRD#: 170846
Miami, FL
Current
April 7, 2021 - Present
UCAP AMERICAS
Office #1: 1221 Brickell Ave Suite 2040, Miami, FL 33131BD
CRD#: 173643
Miami, FL
Past
October 6, 2020 - March 30, 2021
INSIGNEO ADVISORY SERVICES, LLC
RIA
CRD#: 282589
MIAMI, FL
Past
September 16, 2020 - March 30, 2021
INSIGNEO SECURITIES, LLC
BD
CRD#: 29249
MIAMI, FL
Past
November 21, 2019 - September 17, 2020
EFG ASSET MANAGEMENT (AMERICAS) CORP.
RIA
CRD#: 158905
MIAMI, FL
Past
July 11, 2016 - February 22, 2019
EFG CAPITAL ADVISORS INC.
RIA
CRD#: 112224
MIAMI, FL
Past
August 6, 2012 - November 6, 2014
EFG CAPITAL ADVISORS LLC
RIA
CRD#: 145208
MIAMI, FL
Past
April 2, 2009 - September 17, 2020
EFG CAPITAL INTERNATIONAL
BD
CRD#: 40118
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".
UA
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.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
Florida(4/7/2021)
IAR
Florida(8/31/2021)
RR
Texas(9/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UA
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)Upgrade to AdvisorCheck Premium
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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
10
SEC notice filing (12 States and Territories)
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.
Company Information
UCAP AMERICAS
CRD#: 170846Miami, FL 33131TRUST BUT VERIFY
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