Kevin S. Ocana

SIEBERT ADVISORNXT.

New York, NY 10282

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CRD#: 6444407

Professional summary

Kevin Steve Ocana, who also goes by Kevin S Ocana, is a registered financial advisor currently at SIEBERT ADVISORNXT, LLC. located in New York, New York and MURIEL SIEBERT & CO., LLC located in New York, New York.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Kevin has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin S Ocana

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.

Name of Business: Siebert AdvisorNxt Investment Related: Yes Location: Same location as Muriel Siebert, & Co., LLC Nature of business: Investment Advisory Firm Position, Title or Relationship: Dual employee. Investment Advisor Representative Approximate number of hours: Full time. Time split 50/50 between Muriel Siebert & Co., LLC and Siebert AdvisorNxt, LLC, subject to monthly change Compensation at both entities paid by same parent company, Siebert Financial Corporation as both are under common ownership and control of parent company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Steve Ocana'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 8, 2025 - Present

SIEBERT ADVISORNXT, LLC.

Office #1: 300 Vesey Street 5th Floor, New York, NY, 10282

RIA

CRD#: 288572

New York, NY

Current

April 1, 2025 - Present

MURIEL SIEBERT & CO., LLC

Office #1: 300 Vesey Street 5th Floor, New York, NY, 10282

CRD#: 5376

New York, NY

Past

September 29, 2021 - September 18, 2024

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

September 28, 2021 - September 18, 2024

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 16, 2020 - March 18, 2021

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

April 15, 2020 - March 18, 2021

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

December 5, 2016 - January 2, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

March 7, 2015 - January 2, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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".

SIEBERT ADVISORNXT, LLC.

SIEBERT ADVISORNXT, INC. | SIEBERT ADVISORNXT, LLC.

CRD#: 288572 / SEC#: 801-110718

RIA

Registered Investment Advisory firm - (7/11/2017 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.

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

California
(4/1/2025)

Florida
(4/1/2025)

New Jersey
(4/1/2025)

New York
(4/1/2025)

IAR

New York
(4/8/2025)

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: 12/2/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/25/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 9/28/2018

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/27/2018

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

SIEBERT ADVISORNXT, LLC.

SIEBERT ADVISORNXT, INC. | SIEBERT ADVISORNXT, LLC.

CRD#: 288572 / SEC#: 801-110718

RIA

Registered Investment Advisory firm - (7/11/2017 Approved)

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Contact information

Main Address

300 Vesey Street 5th Floor, New York, NY, 10282

Mailing Address

653 Collins Avenue, Miami Beach, FL 33139

Phone number

(800) 872-0444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIEBERT ADVISORNXT PART 2 BROCHURE MARCH 31, 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	786
AUM (Assets Under Management)	$ 287,623,668

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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Firm Stability Insights

Kevin S. Ocana

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Steve Ocana's CRS (Customer Relationship Summary).

Certified licenses

Experience

MURIEL SIEBERT & CO., LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SIEBERT ADVISORNXT, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/2/2016

Series 63

Date: 4/25/2015

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/7/2015

Series 9

Date: 9/28/2018

Series 10

Date: 8/27/2018

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

SIEBERT ADVISORNXT, LLC.

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIEBERT ADVISORNXT, LLC.

TRUST BUT VERIFY

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