Carlos J. Pena Velazco

OCEAN FINANCIAL ADVISORS LLC

MIAMI, FL 33126

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CRD#: 6693519

Professional summary

Carlos Jose Pena Velazco, who also goes by Carlos Pena Velazco, is a registered financial advisor currently at OCEAN FINANCIAL ADVISORS LLC located in Miami, Florida and OCEAN FINANCIAL SERVICES, LLC located in Miami, Florida.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Carlos has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Pena Velazco

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.

1) REGISTERED AS AN INVESTMENT ADVISOR REPRESENTATIVE WITH Ocean Financial Advisors PROVIDING INVESTMENT ADVISORY SERVICES. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. ACTIVITY IS BALANCED WITH ROLE AS A REGISTERED REPRESENTATIVE. 2) Ocean Bank employed as banker 7 hours a day during trading hours. Investment related activity. 2) Ocean Bank: Non-Investment-Related; Miami, FL; Bank; Banker; Wealth Management VP Banker; 05/2023; 160hrs/month; 8hrs during trading hours; Banker.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Jose Pena Velazco's 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

June 7, 2024 - Present

OCEAN FINANCIAL ADVISORS LLC

Office #1: 780 Nw 42nd Avenue Suite 500, Miami, FL 33126

RIA

CRD#: 291950

MIAMI, FL

Current

May 22, 2023 - Present

OCEAN FINANCIAL SERVICES, LLC

Office #1: 780 Nw 42nd Avenue, Suite 500, Miami, FL 33126

CRD#: 164289

MIAMI, FL

Past

March 30, 2021 - May 11, 2023

BOLTON SECURITIES CORPORATION

RIA

CRD#: 129376

Pembroke Pines, FL

Past

March 4, 2021 - May 11, 2023

BOLTON GLOBAL CAPITAL

CRD#: 15650

PLANTATION, FL

Past

April 9, 2019 - March 3, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WESTON, FL

Past

December 14, 2017 - March 3, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WESTON, FL

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
(5/22/2023)

IAR

Florida
(6/7/2024)

Texas
(5/22/2023)

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 65

Date: 4/8/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OCEAN FINANCIAL ADVISORS LLC

CRD#: 291950 / SEC#:

Florida

Registered Investment Advisory firm - (11/20/2018 Approved)

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Contact information

Main Address

780 Nw 42nd Avenue Suite 500, Miami, FL 33126

Mailing Address

Phone number

(305) 461-6940

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 8,483,795

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

Carlos J. Pena Velazco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Jose Pena Velazco's CRS (Customer Relationship Summary).

Certified licenses

Experience

OCEAN FINANCIAL SERVICES, LLC

BOLTON SECURITIES CORPORATION

BOLTON GLOBAL CAPITAL

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/8/2019

Series 63

Date: 9/11/2018

SIE

Date: 10/1/2018

Series 7

Date: 12/14/2017

FINRA

Current Firm

OCEAN FINANCIAL ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OCEAN FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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