Sergio V. Estefano

BRADESCO GLOBAL ADVISORS

Coral Gables, FL 33134

Some features on this profile are disabled

CRD#: 3111561

Professional summary

Sergio Vizintas Estefano, CFP®, CIMA® is a registered financial advisor currently at BRADESCO GLOBAL ADVISORS located in Coral Gables, Florida and BRADESCO INVESTMENTS INC. located in Coral Gables, Florida.

Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sergio has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Sergio Vizintas Estefano'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®

CFP^®

Certified Financial Planner

Start date: 2016

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 12, 2021 - Present

BRADESCO GLOBAL ADVISORS

Office #1: 3011 Ponce De Leon Blvd Ph-1, Coral Gables, FL 33134

RIA

CRD#: 134416

Coral Gables, FL

Current

November 2, 2021 - Present

BRADESCO INVESTMENTS INC.

Office #1: 3011 Ponce De Leon Blvd, Ph1, Coral Gables, FL 33134

CRD#: 19453

Coral Gables, FL

Past

July 17, 2014 - November 11, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MIAMI, FL

Past

July 17, 2014 - November 11, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MIAMI, FL

Past

January 21, 2009 - August 7, 2014

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

MIAMI, FL

Past

September 22, 2008 - August 7, 2014

BARCLAYS CAPITAL INC.

CRD#: 19714

MIAMI, FL

Past

April 24, 2008 - October 15, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

MIAMI, FL

Past

September 17, 1998 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

MIAMI, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BRADESCO GLOBAL ADVISORS

BAC GLOBAL ADVISORS | BRADESCO INVEST US | BRADESCO GLOBAL ADVISORS INC. | BRADESCO GLOBAL ADVISORS | BAC GLOBAL ADVISORS, INC.

CRD#: 134416 / SEC#: 801-123555

RIA

Registered Investment Advisory firm - (3/28/2022 Approved)

Florida

Registered Investment Advisory firm - (3/30/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(1/11/2024)

Delaware
(11/2/2021)

Florida
(11/2/2021)

IAR

Florida
(11/12/2021)

Louisiana
(2/28/2023)

New York
(11/2/2021)

North Carolina
(11/2/2021)

Texas
(11/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/23/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/19/1999

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/16/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BRADESCO GLOBAL ADVISORS

BAC GLOBAL ADVISORS | BRADESCO INVEST US | BRADESCO GLOBAL ADVISORS INC. | BRADESCO GLOBAL ADVISORS | BAC GLOBAL ADVISORS, INC.

CRD#: 134416 / SEC#: 801-123555

RIA

Registered Investment Advisory firm - (3/28/2022 Approved)

Florida

Registered Investment Advisory firm - (3/30/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3011 Ponce De Leon Blvd Ph-1, Coral Gables, FL 33134

Mailing Address

Phone number

(305) 523-6536

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRADESCO GLOBAL ADVISORS WRAP FEE PROGRAM (2/19/2025)

BRADESCO GLOBAL ADVISORS INC. (2/19/2025)

Regulatory assets under management

Total Number of Accounts	1,941
AUM (Assets Under Management)	$ 172,709,474

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.

Similar Advisors

Noah Alweiss

MORGAN STANLEY

IAR

Miami, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sergio V. Estefano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sergio Vizintas Estefano's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRADESCO INVESTMENTS INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

BRADESCO GLOBAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/23/2008

Series 63

Date: 3/22/1999

SIE

Date: 10/1/2018

Series 3

Date: 5/19/1999

Series 7

Date: 9/16/1998

FINRA

Current Firm

BRADESCO GLOBAL ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRADESCO GLOBAL ADVISORS

TRUST BUT VERIFY

Similar Advisors