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RC

Rosa M. Carreiro

SAFRA SECURITIES LLC
Palm Beach, FL 33480
Some features on this profile are disabled
CRD#: 2943980
RC

Professional summary

Rosa Mary Carreiro, who also goes by Rosa M Costa, Rosa Mary Costa, Rosa Mary Costa, Rose Costa, is a registered financial professional currently at SAFRA SECURITIES LLC located in Palm Beach, Florida.

Rosa is registered as a RR (Registered Representative) and started their career in finance in 1998. Rosa has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rosa M Costa | Rosa Mary Costa | Rosa Mary Costa | Rose Costa

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 Rosa Mary Carreiro'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

August 6, 2025 - Present

SAFRA SECURITIES LLC

Office #1: 350 Royal Palm Way Suite 500, Palm Beach, FL 33480
BD
CRD#: 47873
Palm Beach, FL
Past

November 3, 2023 - July 8, 2025

EDWARD JONES

RIA
CRD#: 250
PALM BEACH GARDENS, FL
Past

October 16, 2023 - July 8, 2025

EDWARD JONES

BD
CRD#: 250
PALM BEACH GARDENS, FL
Past

January 31, 2013 - September 14, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
Jupiter, FL
Past

September 21, 2011 - August 31, 2012

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

April 14, 2005 - November 23, 2009

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
PALM BEACH, FL
Past

January 17, 2003 - March 7, 2005

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

November 3, 2000 - September 4, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 31, 2000 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 20, 1998 - August 30, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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
California
(8/6/2025)
RR
Colorado
(8/6/2025)
RR
Connecticut
(8/6/2025)
RR
Florida
(8/6/2025)
RR
Georgia
(8/6/2025)
RR
Maine
(8/6/2025)
RR
Missouri
(8/6/2025)
RR
New Hampshire
(8/6/2025)
RR
New Jersey
(8/6/2025)
RR
New York
(8/6/2025)
RR
Texas
(8/6/2025)
RR
Vermont
(8/6/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/2/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/16/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1998
General Securities Representative Examination
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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAFRA NATIONAL BANK OF NEW YORKSOLE SHAREHOLDER
BONFIM, CARLOS CESAR BERTACODIRECTOR
COLOMBO, RAFAELODIRECTOR6054935
DIBIASI, ANTHONYFINOP6435706
GRUNWALD, MARK STEVENDIRECTOR & PRESIDENT3262204
JAVIER, SIGMUND PETERDIRECTOR6002619
MCCARTHY, GERARD THOMASCHIEF COMPLIANCE OFFICER3121615
MORATO, SIMONI PASSOSDIRECTOR5568481
OSWALD, THOMAS FRANCISCHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER1828798
YOU, SANG MIN JIMMYCHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER6693855

Disclosures

Regulatory Event2
Arbitration1

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

SAFRA SECURITIES LLC

CRD#: 47873Palm Beach, FL 33480

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