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RE

Rodrigo F. Espirito Santo

Some features on this profile are disabled
CRD#: 2303049
RE

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.

Rodrigo Fernandes Espirito Santo, who also goes by Rod Espiritosanto, Rodrigo Fernandes Espiritosanto, was a registered financial professional .

Rodrigo is a previously registered financial professional and started their career in finance in 1993. Rodrigo had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rod Espiritosanto | Rodrigo Fernandes Espiritosanto

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 27, 2019 - July 25, 2024

TORINO CAPITAL LLC

BD
CRD#: 157525
NEW YORK, NY
Past

June 16, 2015 - December 14, 2017

GLOBAL FRONTERA MARKETS INC.

BD
CRD#: 144634
NEW YORK, NY
Past

November 6, 2013 - January 30, 2015

BANCO VOTORANTIM SECURITIES, INC.

BD
CRD#: 139788
NEW YORK, NY
Past

August 17, 2009 - December 18, 2012

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

July 18, 2006 - May 15, 2009

BBVA SECURITIES INC.

BD
CRD#: 27060
NEW YORK, NY
Past

June 2, 2003 - July 17, 2006

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

March 27, 2001 - May 29, 2003

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

March 16, 1998 - November 8, 2000

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

September 14, 1994 - March 18, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 24, 1994 - August 26, 1994

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

January 29, 1993 - April 19, 1994

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/14/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/26/2007
General Securities Principal Examination

Current Firm

TC
TORINO CAPITAL LLC
TORINO CAPITAL LLC | TORINO CAPITAL, LLC

CRD#: 157525 / SEC#: , 8-68855

BD
Terminated by SEC on 09/30/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/29/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TORINO CAPITAL GROUP LLCHOLDING COMPANY/MANAGING MEMBER
BORSATO, FABIANOCOO / CCO / CFO / FINOP5759900
SIERRA, VICTOR GUILLERMOCHIEF EXECUTIVE OFFICER/CHAIRMAN2764352

Disclosures

Regulatory Event2

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

TORINO CAPITAL LLC

CRD#: 157525

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