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RP

Rogerio F. Paes

SAFRA SECURITIES LLC
Aventura, FL 33180
Some features on this profile are disabled
CRD#: 3137401
RP

Professional summary

Rogerio Faria Paes is a registered financial professional currently at SAFRA SECURITIES LLC located in Aventura, Florida.

Rogerio is registered as a RR (Registered Representative) and started their career in finance in 1999. Rogerio has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Rogerio Faria Paes'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

April 17, 2006 - Present

SAFRA SECURITIES LLC

Office #1: 21500 Biscayne Boulevard - Suite #503, Aventura, FL 33180
BD
CRD#: 47873
Aventura, FL
Past

October 25, 2002 - May 28, 2004

SAFRA SECURITIES LLC

BD
CRD#: 47873
NEW YORK, NY
Past

June 14, 2002 - September 12, 2002

SAFRA SECURITIES LLC

BD
CRD#: 47873
NEW YORK, NY
Past

March 20, 2001 - August 6, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 2, 1999 - 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
California
(12/7/2023)
RR
Delaware
(12/7/2023)
RR
Florida
(1/29/2013)
RR
Maine
(2/11/2025)
RR
Massachusetts
(12/7/2023)
RR
Michigan
(12/7/2023)
RR
New York
(12/7/2023)
RR
North Carolina
(8/13/2024)
RR
Ohio
(10/6/2025)
RR
Pennsylvania
(6/20/2024)
RR
Texas
(12/7/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/2023
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: 2/1/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/23/2021
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/27/2015
General Securities Principal 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#: 47873Aventura, FL 33180

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