Alicia M. Hinojosa Gutierrez
Professional summary
Alicia M Hinojosa Gutierrez, who also goes by Alicia Myrthala Hinojosa, A. M Hinojosa Gutierrez, Alicia M Hinojosa Gutierrez, is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.
Alicia is registered as a RR (Registered Representative) and started their career in finance in 1997. Alicia has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alicia M Hinojosa Gutierrez's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2022 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036Office #2: 546 Fifth Avenue, New York, NY 10036January 7, 2016 - May 28, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 16, 2015 - May 28, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2013 - October 16, 2015
CITIGROUP GLOBAL MARKETS INC.
June 15, 2010 - September 27, 2011
JAVELIN SECURITIES, LLC
October 5, 2005 - July 29, 2008
SPENCER CLARKE LLC
May 18, 1999 - February 3, 2004
LEGG MASON WOOD WALKER, INCORPORATED
December 1, 1997 - October 14, 1998
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2023)
(2/6/2023)
(4/8/2022)
(10/10/2022)
Exams
FINRA
Current 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
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