Alvaro L. Catao
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alvaro Luiz Catao, who also goes by Filho Bocayuva, Bocayuva Filho, was a registered financial professional .
Alvaro is a previously registered financial professional and started their career in finance in 1987. Alvaro had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2025 - October 14, 2025
SAFRA SECURITIES LLC
May 18, 2023 - October 10, 2024
STONEX ADVISORS INC.
May 16, 2023 - October 10, 2024
STONEX SECURITIES INC.
March 8, 2016 - May 23, 2023
UBS FINANCIAL SERVICES INC.
January 20, 2016 - May 23, 2023
UBS FINANCIAL SERVICES INC.
January 14, 2010 - December 9, 2015
J.P. MORGAN SECURITIES LLC
August 26, 2003 - December 1, 2006
PACTUAL CAPITAL CORPORATION
April 9, 2003 - July 8, 2003
PACTUAL CAPITAL CORPORATION
August 16, 2000 - February 1, 2003
IBOLSA, INC.
March 25, 1987 - April 9, 1992
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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