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Bertha L. Clemente Douglas

EFG CAPITAL INTERNATIONAL
MIAMI, FL 33131-2867
Some features on this profile are disabled
CRD#: 2603838
BC

Professional summary

Bertha Lydia Clemente Douglas, who also goes by Bertha Lydia Clemente-douglas, Betty Lydia Clemente-douglas, Bertha L Clementedouglas, Bertha Lydia Clementedouglas, Betty L Clementedouglas, is a registered financial professional currently at EFG CAPITAL INTERNATIONAL located in Miami, Florida.

Bertha is registered as a RR (Registered Representative) and started their career in finance in 2008. Bertha has worked at 1 firm and has passed the Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bertha Lydia Clemente-Douglas | Betty Lydia Clemente-Douglas | Bertha L Clementedouglas | Bertha Lydia Clementedouglas | Betty L Clementedouglas

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 Bertha Lydia Clemente Douglas's CRS (Customer Relationship Summary).
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

July 14, 2008 - Present

EFG CAPITAL INTERNATIONAL

Office #1: 701 Brickell Ave 9th Floor & Suite 1310, Miami, FL 33131-2867
BD
CRD#: 40118
MIAMI, FL

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
Florida
(11/12/2009)

Exams

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: 7/11/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EC
EFG CAPITAL INTERNATIONAL
BDD CAPITAL INTERNATIONAL CORP. | EFG CAPITAL INTERNATIONAL CORP. | EFG CAPITAL INTERNATIONAL | EFG CAPITAL | BDD INTERNATIONAL, LTD.

CRD#: 40118 / SEC#: 801-120569, 8-48969

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

Main Address
701 Brickell Ave 9th Floor & Suite 1350, Miami, FL 33131
Mailing Address
701 Brickell Ave 9th Floor & Suite 1310, Miami, FL 33131-2867
Phone number
(305) 482-8000
Established
Delaware since 01/03/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

EFG CAPITAL FORM ADV BROCHURE (2/18/2021)

Direct owners and executive officers

NamePositionCRD#
EFG CAPITAL HOLDINGS CORP.PARENT
ARGUMEDO, GUILLERMO ARTUROSENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL2542794
BORGES, LEONARDO SILVAPRINCIPAL OPERATIONS OFFICER5637377
ECHEVARRIA, VICTOR MANUELCHAIRMAN OF THE BOARD1939548
GONZALEZ, CARLOS JAVIERCHIEF COMPLIANCE OFFICER4294205
LEVERETT, KYLE LAWRENCEPRINCIPAL FINANCIAL OFFICER6123446
MESQUITA, SILVANA SOBRALAMLCO6983852
MOHOROVIC, SANJINCEO6849141

Disclosures

Regulatory Event6

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

EFG CAPITAL INTERNATIONAL

CRD#: 40118Miami, FL 33131-2867

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