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AT

Ana M. Torres

HOLISTIC BROKERAGE
Miami, FL 33131
Some features on this profile are disabled
CRD#: 6415095
AT

Professional summary

Ana Maria Torres is a registered financial professional currently at HOLISTIC BROKERAGE, LLC located in Miami, Florida.

Ana is registered as a RR (Registered Representative) and started their career in finance in 2019. Ana has worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ana Maria Torres'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

July 8, 2019 - Present

HOLISTIC BROKERAGE, LLC

Office #1: 800 Brickell Ave Suite 502, Miami, FL 33131
BD
CRD#: 46001
Miami, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(7/8/2019)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 10/5/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/5/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/8/2019
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HB
HOLISTIC BROKERAGE, LLC
ADCAP SECURITIES LLC | LAKE FOREST SECURITIES, LLC | LAKE FOREST SECURITIES LLC | HOLISTIC BROKERAGE, LLC

CRD#: 46001 / SEC#: , 8-51285

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
800 Brickell Ave Suite 502, Miami, FL 33131
Mailing Address
800 Brickell Ave Suite 502, Miami, FL 33131
Phone number
(305) 374-1177
Established
Illinois since 08/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOLISTIC WM HOLDINGS LLCMANAGING MEMBER
FIGUEROA, ANGELIQUE ELIZABETHCHIEF COMPLIANCE OFFICER/ANTI MONEY LAUNDERING COMPLIANCE OFFICER3126583
MACIEL PERRONI, GONZALO EDUARDOCEO/POO7319656
TORRES, ANA MARIAFINOP/PFO6415095

Disclosures

Regulatory Event3

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

HOLISTIC BROKERAGE, LLC

CRD#: 46001Miami, FL 33131

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