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AO

Alberto N. Otero

OCEANIS FINANCIAL ADVISORS
Miami, FL 33130
Some features on this profile are disabled
CRD#: 6416028
AO

Professional summary

Alberto Nmi Otero, who also goes by Alberto Otero, is a registered financial advisor currently at OCEANIS FINANCIAL ADVISORS, INC. located in Miami, Florida.

Alberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Alberto has worked at 2 firms and has passed the Series 65 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alberto Otero

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) - RIA

Click below to view Alberto Nmi Otero'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

April 9, 2020 - Present

OCEANIS FINANCIAL ADVISORS, INC.

Office #1: 40 Sw 13th Street Suite 605, Miami, FL 33130
RIA
CRD#: 307787
Miami, FL
Past

February 5, 2015 - April 16, 2020

OCEANIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 173581
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".
OF
OCEANIS FINANCIAL ADVISORS, INC.
OCEANIS FINANCIAL ADVISORS, INC.

CRD#: 307787 / SEC#: 801-118279

RIA
Registered Investment Advisory firm - (3/23/2020 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.

Highlighted states indicate IAR registrations

IAR
Florida
(4/9/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/18/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/13/2020
Securities Industry Essentials Examination

Current Firm

OF
OCEANIS FINANCIAL ADVISORS, INC.
OCEANIS FINANCIAL ADVISORS, INC.

CRD#: 307787 / SEC#: 801-118279

RIA
Registered Investment Advisory firm - (3/23/2020 Approved)
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Contact information

Main Address
40 Sw 13th Street Suite 605, Miami, FL 33130
Mailing Address
Phone number
(336) 655-1400
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (1 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

FORM ADV PART 2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts83
AUM (Assets Under Management)$ 216,276,904

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

OCEANIS FINANCIAL ADVISORS, INC.

CRD#: 307787Miami, FL 33130

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