Richard Andre Dubbs
Professional Summary
Richard Andre Dubbs was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 2008 - 2019. Richard had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 17 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
Past
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Current Firm
BANCO DO BRASIL SECURITIES LLC | BB SECURITIES
Contact Information
Main Address
2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Mailing Address
2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Phone Number
(407) 608-1780Established
New York since 07/12/1995Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
11FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO DO BRASIL S.A. | SOLE MEMBER | — |
| ABREU, JULIANO MARCATTO DE | MEMBER OF THE BOARD OF DIRECTORS | 7971425 |
| FRANCA, MELISSA BUENO | CHIEF COMPLIANCE OFFICER & AMLCO | 5185735 |
| GOMES DA SILVA, MARCELO HENRIQUE | MEMBER OF THE BOARD OF DIRECTORS | 8315019 |
| INCERROMEO, MARIA ESTIBALIZ | CHIEF INVESTMENT OFFICER | 5885341 |
| MOREIRA, JEFERSON MUNHOZ | CHIEF OPERATING OFFICER | 5083219 |
| PERRONE LOPES, MARIO ROBERTO | MEMBER OF THE BOARD OF DIRECTORS | 8262918 |
| PORTNOFF, DAVID ROSS | FINANCIAL OPERATIONS PRINCIPAL AND PRINCIPAL FINANCIAL OFFICER | 2977967 |
| RIOS NOGALES GARCES, FABIO LUIS | PRINCIPAL OPERATIONS OFFICER | 5788772 |
| ROSSI, GUILHERME ALEXANDRE | MEMBER OF THE BOARD OF DIRECTORS | 7824752 |
| SILVA ROSOSTOLATO, DIOGO | CHIEF EXECUTIVE OFFICER | 7629292 |
| VEZZARO, JULIO CESAR | MEMBER OF THE BOARD OF DIRECTORS | 7425235 |
Disclosures
Civil Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2011About the Series 79 examSeries 17 — Limited Registered Representative Examination
Passed Jan 2008Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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