Providencia Mordan

OCEAN FINANCIAL ADVISORS LLC

Miami, FL 33131

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CRD#: 5854740

Professional summary

Providencia Mordan, who also goes by Providencia Mordan Marte, is a registered financial advisor currently at OCEAN FINANCIAL ADVISORS LLC located in Miami, Florida and OCEAN FINANCIAL SERVICES, LLC located in Miami, Florida.

Providencia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Providencia has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Providencia Mordan Marte

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.

Ocean Financial Advisors - Investment Related - Miami, FL - Investment Advisory - Supervisory Principal - 04/2025 - 3.5 hrs/week - Supervisory Principal

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Providencia Mordan'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®

None

Experience

Current

May 14, 2025 - Present

OCEAN FINANCIAL ADVISORS LLC

Office #1: 1000 Brickell Avenue Suite 1200, Miami, FL 33131

RIA

CRD#: 291950

Miami, FL

Current

April 11, 2025 - Present

OCEAN FINANCIAL SERVICES, LLC

Office #1: 1000 Brickell Avenue, Miami, FL 33131

CRD#: 164289

Miami, FL

Past

February 28, 2019 - May 8, 2025

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

Miami, FL

Past

February 27, 2019 - May 8, 2025

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Miami, FL

Past

April 11, 2017 - July 27, 2021

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

CRD#: 17053

MIAMI, FL

Past

November 7, 2016 - March 17, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CORAL GABLES, FL

Past

January 27, 2016 - March 17, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CORAL GABLES, FL

Past

August 13, 2012 - April 28, 2014

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

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
(4/14/2025)

IAR

Florida
(5/14/2025)

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 66

Date: 11/5/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 6/18/2021

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/10/2021

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/19/2021

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OCEAN FINANCIAL ADVISORS LLC

CRD#: 291950 / SEC#:

Florida

Registered Investment Advisory firm - (11/20/2018 Approved)

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Contact information

Main Address

780 Nw 42nd Avenue Suite 500, Miami, FL 33126

Mailing Address

Phone number

(305) 461-6940

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 8,483,795

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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Advisor Monitoring

Firm Stability Insights

Providencia Mordan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Providencia Mordan's CRS (Customer Relationship Summary).

Certified licenses

Experience

OCEAN FINANCIAL SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

SANTANDER SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/5/2016

Series 52TO

Date: 6/18/2021

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2012

Series 53

Date: 7/10/2021

Series 4

Date: 3/19/2021

Series 24

Date: 12/21/2019

FINRA

Current Firm

OCEAN FINANCIAL ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OCEAN FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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