AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JA

Jose M. Alfonso

BOREAL CAPITAL SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 7062870
JA

Professional summary

Jose Miguel Alfonso is a registered financial professional currently at BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Jose is registered as a RR (Registered Representative) and started their career in finance in 2023. Jose has worked at 1 firm and has passed the Series 99TO, Series 7TO, SIE, Series 24 and Series 27 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jose Miguel Alfonso'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

November 27, 2023 - 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
(11/27/2023)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/8/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/27/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/25/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/25/2025
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/11/2024
Financial and Operations Principal 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Jose Alfonso

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Noah Philip Alweiss
Noah AlweissAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Miami, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics