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AP

Amado B. Penate

SAFRA SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 3222424
AP

Professional summary

Amado Barbaro Penate, who also goes by Amado B Penate Mr, Amado B Penate, is a registered financial professional currently at SAFRA SECURITIES LLC located in Miami, Florida.

Amado is registered as a RR (Registered Representative) and started their career in finance in 1999. Amado has worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amado B Penate Mr | Amado B Penate

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.
COMPANY NAME: OCEAN BANK; COMPANY LOCATION: MIAMI FL; NON-INVESTMENT RELATED; PURPOSE OF BUSINESS: BANKING; HIRED DATE: 08/2017; POSITION: SVP & WEALTH MANAGEMENT MANAGER; APPROX NUMBER OF HOURS PER MONTH 160H, APPROX NUMBER OF HOURS DURING SECURITIES TRADING 160H COMPANY NAME: OCEAN FINANCIAL ADVISORS, LLC; INVESTMENT RELATED; PURPOSE OF BUSINESS: ADVISORY SERVICES; HIRE DATE: 03/29/2019; APPROX NUMBER OF HOURS A MONTH: 60H; COMPANY LOCATION: MIAMI FL, POSITION: INVESTMENT ADVISER REPRESENTATIVE

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amado Barbaro Penate'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

September 13, 2024 - Present

SAFRA SECURITIES LLC

Office #1: 1221 Brickell Avenue Suite 500, Miami, FL 33131
BD
CRD#: 47873
Miami, FL
Past

March 29, 2019 - August 29, 2024

OCEAN FINANCIAL ADVISORS LLC

RIA
CRD#: 291950
MIAMI, FL
Past

September 27, 2017 - August 29, 2024

OCEAN FINANCIAL SERVICES, LLC

BD
CRD#: 164289
MIAMI, FL
Past

September 12, 2016 - April 17, 2017

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
KEY BISCAYNE, FL
Past

March 18, 2013 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
MIAMI, FL
Past

March 11, 2013 - April 17, 2017

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
MIAMI, FL
Past

December 17, 2008 - March 18, 2013

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
AVENTURA, FL
Past

December 15, 2008 - March 18, 2013

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
AVENTURA, FL
Past

June 3, 2002 - December 8, 2008

UBS INTERNATIONAL INC.

RIA
CRD#: 107726
MIAMI, FL
Past

June 3, 2002 - December 8, 2008

UBS INTERNATIONAL INC.

BD
CRD#: 107726
MIAMI, FL
Past

June 23, 1999 - June 1, 2002

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MIAMI, FL
Past

June 18, 1999 - June 3, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
Delaware
(10/22/2025)
RR
Florida
(9/13/2024)
RR
Massachusetts
(5/12/2025)
RR
New York
(9/13/2024)
RR
North Carolina
(10/22/2025)
RR
Puerto Rico
(10/22/2025)
RR
Texas
(10/22/2025)
RR
Wyoming
(10/22/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/23/2004
Uniform Combined State Law Examination
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: 6/17/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/10/2014
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#: 47873Miami, FL 33131

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