CREDICORP CAPITAL ADVISORS LLC of MIAMI, FL is an SEC-registered investment adviser (CRD 290081). Regulatory assets under management: $1.6B.
Compensation: % of AUM, Hourly, Other.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Carlos Andres Coll | CHIEF OPERATING OFFICER / CHIEF EXECUTIVE OFFICER / DIRECTOR | — |
| Steven Frederic Singer | CFO | — |
| Arturo De La Espriella | CHIEF COMPLIANCE OFFICER | — |
| SINGER STEVEN FREDERIC | CFO | — |
| DE LA ESPRIELLA ARTURO | CHIEF COMPLIANCE OFFICER | — |
| CARATINI DINAH | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/ MANAGER | — |
| COLL CARLOS ANDRES | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER AND CHIEF EXECUTIVE OFFICER; CHIEF OPERATING OFFICER AND (INTERIM) CHIEF EXECUTIVE OFFICER (+2 more) | — |
| ARANGO RICARDO DIONISIO | DIRECTOR; MANAGER; OWNER | — |
| VELEZ JOSE MANUEL | DIRECTOR; MANAGER; OWNER | — |
| GONZALEZ JUAN PABLO | DIRECTOR; MANAGER | — |
| ROJAS MARCELA | DIRECTOR; MANAGER | — |
| Galan Juan Pablo | CEO - PRESIDENT; CEO - PRESIDENT/ MANAGER; DIRECTOR | — |
| DIEGUEZ MARLO E | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-15 | regulatory | THE SEC ALLEGED THAT CREDICORP PUBLISHED COMMUNICATIONS ON ITS PUBLIC WEBSITE THAT CONSTITUTED "ADVERTISEMENTS" BECAUSE THEY OFFERED CREDICORP'S INVESTMENT ADVISORY SERVICES WITH REGARD TO SECURITIES TO PROSPECTIVE CLIENTS AND OFFERED NEW INVESTMENT ADVISORY SERVICES WITH REGARD TO SECURITIES TO CUR… | Final | $30K |
| 2014-11-28 | regulatory | 1. DUE TO HUMAN ERROR, THE CLASSIFICATION OF ACCOUNTING AND FINANCIAL INFORMATION REGARDING THE FIRM'S (HEREINAFTER, THE "FIRM") ASSETS AND THIRD PARTIES ASSETS WAS INCORRECTLY MADE. 2. APPLICABLE REGULATION PROVIDES THAT THE FIRM CANNOT CARRY OUT ITS ACTIVITIES THROUGH THIRD PARTIES, UNLESS THERE I… | Final | $21K |
| 2014-10-23 | regulatory | ON SEPTEMBER 3RD AND 4TH OF 2014, THE FIRM ENTERED INTO CERTAIN TRANSACTIONS OF FIXED INCOME COLOMBIAN TREASURIES AND OTHER BONDS WHICH CAUSED THE FIRM TO EXCEED ITS TRADING LIMITS AND CAUSED THE FIRM TO VIOLATE ITS "NET CAPITAL LIMITS" WHICH ARE KNOWN AS "PATRIMONIO TECNICO" IN COLOMBIA. THIS VIOLA… | Final | $10K |
| 2008-08-15 | regulatory | FAILURE TO TIMELY SUBMIT A REPORT OF CURRENCY EXCHANGE TRANSACTIONS TO THE COLOMBIAN CENTRAL BANK (BANCO DE LA REPUBLICA) DUE TO A PLATFORM ERROR AND A HUMAN MISTAKE, SINCE THE PERSON IN CHARGE DID NOT VERIFY THAT THE INFORMATION WAS DULY SUBMITTED. REFERENCED REPORTS ARE REQUIRED TO BE SENT WITHIN… | Final | $4K |
| 2008-08-15 | regulatory | FAILURE TO TIMELY SUBMIT A REPORT OF CURRENCY EXCHANGE TRANSACTIONS TO THE COLOMBIAN CENTRAL BANK (BANCO DE LA REPÚBLICA) DUE TO A PLATFORM ERROR AND A HUMAN MISTAKE, SINCE THE PERSON IN CHARGE DID NOT VERIFY THAT THE INFORMATION WAS DULY SUBMITTED. REFERENCED REPORTS ARE REQUIRED TO BE SENT WITHIN… | Final | $4K |