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Karina Ocon

CREDICORP CAPITAL LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 6474557
KO

Professional summary

Karina Ocon, who also goes by Karina A Ocon, is a registered financial professional currently at CREDICORP CAPITAL LLC located in Miami, Florida.

Karina is registered as a RR (Registered Representative) and started their career in finance in 2015. Karina has worked at 3 firms and has passed the Series 7TO, SIE, Series 99 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karina A Ocon

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 Karina Ocon'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 30, 2023 - Present

CREDICORP CAPITAL LLC

Office #1: 1111 Brickell Avenue Suite 2825, Miami, FL 33131
BD
CRD#: 136791
Miami, FL
Past

March 23, 2023 - August 23, 2023

ANDBANC BROKERAGE, LLC

BD
CRD#: 155979
MIAMI, FL
Past

April 25, 2022 - March 29, 2023

BOREAL CAPITAL SECURITIES LLC

BD
CRD#: 158599
MIAMI, FL
Past

November 17, 2015 - April 18, 2022

CREDICORP CAPITAL LLC

BD
CRD#: 136791
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
(8/30/2023)

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 9/17/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 11/17/2015
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/10/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CREDICORP CAPITAL LLC
CREDICORP CAPITAL LLC | ULTRALAT SECURITIES, INC. | ULTRALAT SECURITIES INC. | ULTRALAT CORPORATION | ULTRALAT CAPITAL MARKETS, LLC | ULTRALAT CAPITAL MARKETS, INC. | ULTRALAT CAPITAL MARKETS INC. | ULTRALAT CAPITAL MARKETS

CRD#: 136791 / SEC#: , 8-67048

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

Main Address
1111 Brickell Avenue Suite 2825, Miami, FL 33131
Mailing Address
1111 Brickell Avenue Suite 2825, Miami, FL 33131
Phone number
(305) 455-0971
Established
Florida since 05/02/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CREDICORP CAPITAL USA, INCMEMBER
COLL, CARLOS ANDRESCHIEF EXECUTIVE OFFICER / CHIEF OPERATIONS OFFICER / DIRECTOR4860091
DE LA ESPRIELLA, ARTUROCCO/AMLCO5066709
SINGER, STEVEN FREDERICFINOP CFO2360737

Disclosures

Regulatory Event5

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

CREDICORP CAPITAL LLC

CRD#: 136791Miami, FL 33131

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