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LS

Lourdes M. Stauffer

UCAP AMERICAS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 5912994
LS

Professional summary

Lourdes Marina Stauffer, who also goes by Lou Zaldana, Lourdes Marina Zaldana, Lourdes Zaldana, is a registered financial advisor currently at UCAP AMERICAS located in Miami, Florida and UCAP AMERICAS located in Miami, Florida.

Lourdes is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Lourdes has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lou Zaldana | Lourdes Marina Zaldana | Lourdes Zaldana

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.
Lourdes is a registered representative at UCAP Securities, LLC, a registered broker-dealer. UCAP Securities, LLC is an affiliated entity with UCAP Asset Management LLC. Lourdes 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lourdes Marina Stauffer'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 22, 2023 - Present

UCAP AMERICAS

Office #1: 1221 Brickell Avenue Suite 2040, Miami, FL 33131
RIA
CRD#: 170846
Miami, FL
Current

August 7, 2023 - Present

UCAP AMERICAS

Office #1: 1221 Brickell Avenue Suite 2040, Miami, FL 33131
BD
CRD#: 173643
Miami, FL
Past

April 6, 2015 - July 27, 2023

MORGAN STANLEY

RIA
CRD#: 149777
West Palm Beach, FL
Past

October 7, 2014 - July 27, 2023

MORGAN STANLEY

BD
CRD#: 149777
West Palm Beach, FL
Past

August 5, 2013 - September 18, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MIAMI, FL
Past

September 27, 2011 - October 30, 2012

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
STATEN ISLAND, 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".
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
California
(8/7/2023)
RR
Colorado
(8/7/2023)
RR
Connecticut
(8/7/2023)
RR
Delaware
(8/7/2023)
RR
Florida
(8/7/2023)
IAR
Florida
(8/22/2023)
RR
Georgia
(8/7/2023)
RR
Illinois
(8/7/2023)
RR
New Jersey
(8/7/2023)
RR
New York
(8/7/2023)
RR
North Carolina
(8/7/2023)
RR
Puerto Rico
(8/7/2023)
RR
Tennessee
(8/7/2023)
RR
Texas
(8/7/2023)
RR
Virginia
(8/7/2023)
RR
Wisconsin
(8/7/2023)
RR
Wyoming
(8/7/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/1/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/3/2012
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: 3/26/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/26/2011
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UCAP ASSET MANAGEMENT LLC PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts178
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 33131

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