Unclaimed Profile

Dinah Caratini

UCAP ASSET MANAGEMENT LLC·MIAMI, Florida

SIE, Series 4, Series 6, Series 7, Series 9, Series 10, Series 14, Series 24, Series 28, Series 55, Series 57TO, Series 66, Series 99TOClean record19 years registeredUCAP ASSET MANAGEMENT LLC

1221 BRICKELL AVENUE, MIAMI, FL 33131CRD# 2757383Firm CRD# 170846

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Dinah Caratini · MIAMI, FL

Registration

CRD #2757383 · UCAP ASSET MANAGEMENT LLC · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: UCAP ASSET MANAGEMENT LLC

ULTRALAT CAPITAL MARKETS

May 2007 – Aug 2012

MIAMI, FL

MORGAN STANLEY & CO., INCORPORATED

Apr 2007 – Apr 2007

MIAMI, FL

MORGAN STANLEY

Sep 2006 – Apr 2007

MIAMI, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 6

Series 7

Series 9

Series 10

Series 14

Series 24

Series 28

Series 55

Series 57TO

Series 66

Series 99TO

Registration record

First registered · September 27, 2006

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

UCAP ASSET MANAGEMENT LLC

CRD 170846 · SEC 801-79625

AUM

$165M

Regulatory assets under management

Employees

222 client accounts

Services offered by UCAP ASSET MANAGEMENT LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

View all advisors at UCAP ASSET MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Dinah Caratini offer?

Dinah Caratini specializes in Investment Management, Wealth Management.

What are Dinah Caratini's credentials?

Dinah Caratini is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Dinah Caratini located?

Dinah Caratini is based in MIAMI, Florida, last registered with UCAP ASSET MANAGEMENT LLC.

How does Dinah Caratini charge for services?

Dinah Caratini's firm is compensated through percentage of aum, other: 12b-1 fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is UCAP ASSET MANAGEMENT LLC?

UCAP ASSET MANAGEMENT LLC has approximately 12 employees and manages $165M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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