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AM

Ana Elsa Martinez Ramos

BOREAL CAPITAL SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 6730152
AM

Professional summary

Ana Elsa Martinez Ramos, who also goes by Ana Elsa Martinez, Ana Elsa Martinez Ramos, is a registered financial professional currently at BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Ana Elsa is registered as a RR (Registered Representative) and started their career in finance in 2020. Ana Elsa has worked at 1 firm and has passed the SIE and Series 99TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ana Elsa Martinez | Ana Elsa Martinez Ramos

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 Ana Elsa Martinez Ramos'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

January 17, 2020 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131
BD
CRD#: 158599
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
(1/17/2020)

Exams

General Industry/Product Exam
RR
SIE
Date: 1/17/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/13/2019
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BOREAL CAPITAL SECURITIES LLC
BOREAL CAPITAL SECURITIES LLC | MORA WM SECURITIES, LLC | MORA WM SECURITIES

CRD#: 158599 / SEC#: , 8-68910

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

Main Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131
Mailing Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131
Phone number
(305) 459-5400
Established
Delaware since 06/17/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOREAL CAPITAL HOLDINGS USA, LLCOWNER / MEMBER
FRANCES, JOAQUIN NMNCEO4551274
GAETA, ROBERT BYRONCHIEF COMPLIANCE OFFICER\AMLCO1770315
STICE, HAROLD EUGENEFINOP1349210

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

BOREAL CAPITAL SECURITIES LLC

CRD#: 158599Miami, FL 33131

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