OM
Oswaldo Mora Gonzalez
BOREAL CAPITAL SECURITIES LLC
Miami, FL 33131
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CRD#: 6873964
OM
Professional summary
Oswaldo Mora Gonzalez is a registered financial professional currently at BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.
Oswaldo is registered as a RR (Registered Representative) and started their career in finance in 2017. Oswaldo has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Oswaldo Mora Gonzalez'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®
NoneExperience
Current
October 26, 2017 - Present
BOREAL CAPITAL SECURITIES LLC
Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131BD
CRD#: 158599
Miami, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
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)
Red Flags
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Company Information
BOREAL CAPITAL SECURITIES LLC
CRD#: 158599Miami, FL 33131TRUST BUT VERIFY
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