JS
Jaime Safra
SAFRA SECURITIES LLC
New York, NY 10036
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CRD#: 2397682
JS
Professional summary
Jaime Safra, who also goes by Jack Safra, is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.
Jaime is registered as a RR (Registered Representative) and started their career in finance in 2000. Jaime has worked at 2 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jack Safra
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.
CRS (Client Relationship Summary) - BD
Click below to view Jaime Safra'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®
NoneExperience
Current
November 2, 2001 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036Office #2: 546 Fifth Avenue, New York, NY 10036BD
CRD#: 47873
New York, NY
Past
October 30, 2000 - June 29, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(1/3/2019)
RR
Arkansas(1/3/2019)
RR
California(12/6/2017)
RR
Colorado(1/3/2019)
RR
Connecticut(12/6/2017)
RR
Delaware(1/3/2019)
RR
District of Columbia(1/3/2019)
RR
Florida(1/3/2019)
RR
Georgia(1/3/2019)
RR
Illinois(1/3/2019)
RR
Iowa(1/3/2019)
RR
Kansas(1/3/2019)
RR
Kentucky(1/3/2019)
RR
Maryland(1/3/2019)
RR
Massachusetts(12/6/2017)
RR
New Jersey(1/3/2019)
RR
New York(11/2/2001)
RR
Ohio(1/3/2019)
RR
Pennsylvania(1/3/2019)
RR
Texas(1/3/2019)
RR
Utah(1/3/2019)
RR
Vermont(1/3/2019)
RR
Virginia(1/3/2019)
RR
Washington(1/3/2019)
RR
Wyoming(1/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SAFRA SECURITIES LLC
SAFRA SECURITIES CORPORATION | SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
546 Fifth Ave, New York, NY 10036
Mailing Address
546 Fifth Ave, New York, NY 10036
Phone number
(212) 704-5500
Established
Delaware since 12/31/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
