Roberto Ruiz Velez

BOREAL CAPITAL MANAGEMENT LLC

Miami, FL 33131

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CRD#: 6479379

Professional summary

Roberto Ruiz Velez is a registered financial advisor currently at BOREAL CAPITAL MANAGEMENT LLC located in Miami, Florida and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

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

Question & Answer

Are you a "fiduciary"?

Yes

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.

Boreal Capital Management, affiliated RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roberto Ruiz Velez'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

December 16, 2024 - Present

BOREAL CAPITAL MANAGEMENT LLC

Office #1: 1450 Brickell Avenue Suite 2900, Miami, FL 33131

RIA

CRD#: 112221

Miami, FL

Current

November 27, 2024 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131

CRD#: 158599

Miami, FL

Past

December 14, 2023 - October 10, 2024

INSIGNEO ADVISORY SERVICES, LLC

RIA

CRD#: 282589

MIAMI, FL

Past

December 4, 2023 - October 10, 2024

INSIGNEO SECURITIES, LLC

CRD#: 29249

MIAMI, FL

Past

April 27, 2023 - November 30, 2023

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

MIAMI, FL

Past

September 17, 2021 - November 30, 2023

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

MIAMI, FL

Past

July 19, 2016 - November 30, 2023

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Miami, FL

Past

August 26, 2015 - September 17, 2021

BBVA SECURITIES INC.

CRD#: 27060

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".

BOREAL CAPITAL MANAGEMENT LLC

BOREAL CAPITAL MANAGEMENT LLC | PRS LATAM LLC | MORA WEALTH MANAGEMENT LLC | INTRACOASTAL FAMILY OFFICE

CRD#: 112221 / SEC#: 801-57604

RIA

Registered Investment Advisory firm - (6/9/2000 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

Florida
(11/27/2024)

IAR

Florida
(12/16/2024)

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: 6/1/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BOREAL CAPITAL MANAGEMENT LLC

BOREAL CAPITAL MANAGEMENT LLC | PRS LATAM LLC | MORA WEALTH MANAGEMENT LLC | INTRACOASTAL FAMILY OFFICE

CRD#: 112221 / SEC#: 801-57604

RIA

Registered Investment Advisory firm - (6/9/2000 Approved)

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Contact information

Main Address

1450 Brickell Avenue Suite 2900, Miami, FL 33131

Mailing Address

Phone number

(305) 459-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOREAL CAPITAL MANAGEMENT - FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	719
AUM (Assets Under Management)	$ 1,839,898,461

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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Advisor Monitoring

Firm Stability Insights

Roberto Ruiz Velez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roberto Ruiz Velez's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOREAL CAPITAL SECURITIES LLC

INSIGNEO ADVISORY SERVICES, LLC

INSIGNEO SECURITIES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

Primary Firm SEC Registration

BOREAL CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2015

FINRA

Current Firm

BOREAL CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BOREAL CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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