Jorge E. Delgadillo
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.
Jorge Eduardo Delgadillo, who also goes by Geore Delgadillo, George Delgadillo, Jorge Edward Delgadillo, was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 1996. Jorge had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2017 - September 25, 2019
SAFRA SECURITIES LLC
May 17, 2012 - May 15, 2017
HAPOALIM SECURITIES USA, INC.
January 1, 2010 - May 7, 2012
UBS FINANCIAL SERVICES INC.
August 28, 2007 - January 1, 2010
UBS INTERNATIONAL INC.
January 14, 2005 - August 24, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 3, 2002 - January 10, 2005
UBS INTERNATIONAL INC.
June 3, 2002 - January 10, 2005
UBS INTERNATIONAL INC.
December 3, 1999 - June 1, 2002
UBS FINANCIAL SERVICES INC.
December 3, 1999 - June 3, 2002
UBS FINANCIAL SERVICES INC.
May 1, 1996 - December 14, 1999
PRUDENTIAL EQUITY GROUP, LLC
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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