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

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
MR

Mario E. Ros

MORA CAPITAL MANAGEMENT
Miami, FL 33131
Some features on this profile are disabled
CRD#: 7461009
MR

Professional summary

Mario Enrique Ros, who also goes by Mario E Ros, Mario Ros, Mario Enrique Ros-flis, is a registered financial advisor currently at MORA CAPITAL MANAGEMENT, LLC located in Miami, Florida and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Mario has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mario E Ros | Mario Ros | Mario Enrique Ros-Flis

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) - RIA

Click below to view Mario Enrique Ros'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

May 20, 2026 - Present

MORA CAPITAL MANAGEMENT, LLC

Office #1: 1450 Brickell Avenue Suite 2900, Miami, FL 33131
RIA
CRD#: 112221
Miami, FL
Current

May 12, 2026 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131
BD
CRD#: 158599
Miami, FL
Past

December 17, 2024 - May 19, 2026

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
Miami, FL
Past

December 16, 2024 - May 19, 2026

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Miami, FL
Past

February 18, 2022 - November 28, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MIAMI, FL
Past

December 4, 2021 - November 28, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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".
MC
MORA CAPITAL MANAGEMENT, LLC
BOREAL CAPITAL MANAGEMENT LLC | PRS LATAM LLC | MORA WEALTH MANAGEMENT LLC | MORA CAPITAL 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.
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
(5/12/2026)
IAR
Florida
(5/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/20/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/4/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/13/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

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

CRD#: 112221 / SEC#: 801-57604

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

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
49

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MORA CAPITAL MANAGEMENT - FORM ADV PART 2A (3/24/2026)

Regulatory assets under management

Total Number of Accounts684
AUM (Assets Under Management)$ 1,904,670,726

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

MORA CAPITAL MANAGEMENT, LLC

CRD#: 112221Miami, FL 33131

TRUST BUT VERIFY

Monitor Mario Ros

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

Similar Advisors

Allan Wiltshire III
Allan WiltshireAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Athens, GA
JO
Joe-ben O'banionAdvisorCheck Check Mark
TITLEIST ASSET MANAGEMENT, LLC
IAR
RR
SAN ANTONIO, TX
AL
Annabelle LeeAdvisorCheck Check Mark
FARMERS FINANCIAL SOLUTIONS, LLC
PR
WESTLAKE VILLAGE, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.