Robert A. Jimenez
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.
Robert Anthony Jimenez, who also goes by Robert A Jimenez, Robert Anthony Jimenezrueda, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 8 firms and has passed the Series 66, Series 63, Series 31, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2013 - December 20, 2013
SAFRA SECURITIES LLC
December 6, 2010 - June 30, 2011
ENSEMBLE FINANCIAL SERVICES, INC.
December 7, 2007 - December 15, 2008
RAYMOND JAMES & ASSOCIATES, INC.
February 27, 2007 - November 9, 2007
BRADESCO SECURITIES, INC.
January 3, 2006 - February 1, 2006
MORGAN STANLEY DW INC.
March 4, 2005 - February 1, 2006
MORGAN STANLEY DW INC.
February 18, 1997 - October 27, 2003
NATIXIS SECURITIES AMERICAS LLC
January 3, 1996 - January 7, 1997
ROBERT FLEMING INC.
July 14, 1995 - October 3, 1995
SMITH NEW COURT, 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
Series 55
Date: 12/18/1998
Limited Representative-Equity Trader ExamCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
