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JS

Jose F. Saa

TRIVE NEW YORK LLC
NEW YORK, NY 10004-2434
Some features on this profile are disabled
CRD#: 1677154
JS

Professional summary

Jose Francisco Saa, who also goes by Jose Saa, is a registered financial professional currently at TRIVE NEW YORK LLC located in New York, New York.

Jose is registered as a RR (Registered Representative) and started their career in finance in 1987. Jose has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jose Saa

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) - BD

Click below to view Jose Francisco Saa's 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

September 21, 2021 - Present

TRIVE NEW YORK LLC

Office #1: 85 Broad Street Suite 17-105, New York, NY 10004-2434Office #2: 85 Broad Street Suite 17-105, New York, NY 10004
BD
CRD#: 21946
NEW YORK, NY
Past

August 1, 2011 - June 5, 2012

IXE SECURITIES, LLC

BD
CRD#: 19920
NEW YORK, NY
Past

July 3, 2006 - April 9, 2020

BANORTE SECURITIES INTERNATIONAL, LTD.

BD
CRD#: 30648
NEW YORK, NY
Past

April 4, 2005 - June 30, 2006

MAYBANK SECURITIES USA INC.

BD
CRD#: 27861
NEW YORK, NY
Past

March 1, 1994 - June 7, 2004

ACCI SECURITIES, INC.

BD
CRD#: 28292
NEW YORK, NY
Past

October 4, 1993 - March 22, 1994

CCF INTERNATIONAL FINANCE CORP.

BD
CRD#: 15977
NEW YORK, NY
Past

February 9, 1993 - February 17, 1993

JACKSON PARTNERS & ASSOCIATES, INC.

BD
CRD#: 30671
LYNBROOK, NY
Past

January 27, 1993 - July 6, 1993

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

December 2, 1992 - May 21, 1993

DONGSUH INTERNATIONAL (AMERICA), INC.

BD
CRD#: 30634
NEW YORK, NY
Past

October 26, 1987 - November 20, 1992

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

BD
CRD#: 8010
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New Jersey
(9/21/2021)
RR
New York
(9/21/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/17/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/21/1994
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/27/1988
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TN
TRIVE NEW YORK LLC
BORNHOFT GROUP SECURITIES CORPORATION | TRIVE NEW YORK LLC | HART-BORNHOFT SECURITIES, INC. | GK TRADE NY LLC | GK TRADE NEW YORK LLC | EQUINOX GROUP DISTRIBUTORS, LLC

CRD#: 21946 / SEC#: , 8-39420

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
85 Broad Street Suite 17-105, New York, NY 10004-2434
Mailing Address
85 Broad Street Suite 17-105, New York, NY 10004-2434
Phone number
(929) 508-1500
Established
Delaware since 01/04/2012
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TRIVE INVESTMENT B.V.OWNER
ATTANASIO, ELIZABETH MARIEPRINCIPAL FINANCIAL AND OPERATIONS OFFICER5325007
SAA, JOSE FRANCISCOEXECUTIVE BOARD OF DIRECTOR1677154
SAA, JOSE FRANCISCOCHIEF EXECUTIVE OFFICER1677154
SAA, JOSE FRANCISCOCHIEF COMPLIANCE OFFICER1677154

Disclosures

Regulatory Event1

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

TRIVE NEW YORK LLC

CRD#: 21946New York, NY 10004-2434

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