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BS

Bengt M. Seiplax

SAFRA SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 3250879
BS

Professional summary

Bengt M Seiplax JR, who also goes by Bengt M. Maruri, Bengt Seiplax, is a registered financial professional currently at SAFRA SECURITIES LLC located in Miami, Florida.

Bengt is registered as a RR (Registered Representative) and started their career in finance in 2000. Bengt has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bengt M. Maruri | Bengt Seiplax

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 Bengt M Seiplax JR'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 17, 2024 - Present

SAFRA SECURITIES LLC

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

June 6, 2013 - August 29, 2024

OCEAN FINANCIAL SERVICES, LLC

BD
CRD#: 164289
MIAMI, FL
Past

November 23, 2009 - April 23, 2012

ACTIVA CAPITAL MARKETS, INC.

BD
CRD#: 42619
MIAMI, FL
Past

January 1, 2005 - November 20, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
CORAL GABLES, FL
Past

January 11, 2002 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

August 3, 2000 - February 14, 2002

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, 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
Delaware
(9/17/2024)
RR
Florida
(9/17/2024)
RR
New York
(9/17/2024)
RR
Texas
(10/22/2025)
RR
Wyoming
(9/17/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/16/2000
Uniform Combined 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: 8/2/2000
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#: 47873Miami, FL 33131

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