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AB

Adrian Barbosa Carriedo

BANORTE SECURITIES INTERNATIONAL, LTD.
Houston, TX 77056
Some features on this profile are disabled
CRD#: 4198122
AB

Professional summary

Adrian Barbosa Carriedo, who also goes by Adri Barbosa, Adrian Barbosa, is a registered financial professional currently at BANORTE SECURITIES INTERNATIONAL, LTD. located in Houston, Texas.

Adrian is registered as a RR (Registered Representative) and started their career in finance in 2008. Adrian has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adri Barbosa | Adrian Barbosa

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 Adrian Barbosa Carriedo'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 30, 2020 - Present

BANORTE SECURITIES INTERNATIONAL, LTD.

Office #1: 5075 Westheimer, Suite 975w, Houston, TX 77056
BD
CRD#: 30648
Houston, TX
Past

April 5, 2010 - September 1, 2020

VECTORGLOBAL WMG

BD
CRD#: 32396
MIAMI, FL
Past

June 5, 2009 - March 29, 2010

CREDICORP CAPITAL LLC

BD
CRD#: 136791
MIAMI, FL
Past

September 3, 2008 - June 1, 2009

INVEX, LLC.

BD
CRD#: 30032
CORAL GABLES, FL

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
Arizona
(9/30/2020)
RR
California
(9/30/2020)
RR
Connecticut
(9/30/2020)
RR
Florida
(9/30/2020)
RR
Louisiana
(9/30/2020)
RR
New York
(9/30/2020)
RR
Texas
(9/30/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 8/6/2010
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: 9/2/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BANORTE SECURITIES INTERNATIONAL, LTD.
AFIN SECURITIES INTERNATIONAL, LTD. | BANORTE-IXE SECURITIES INTERNATIONAL, LTD. | BANORTE WEALTH MANAGEMENT | BANORTE SECURITIES INTERNATIONAL, LTD. | BANORTE SECURITIES INTERNATIONAL, LTD | BANORTE SECURITIES INTERNATIONAL LTD | BANORTE SECURITIES

CRD#: 30648 / SEC#: , 8-45056

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Contact information

Main Address
5075 Westheimer Suite 975w, Houston, TX 77056
Mailing Address
5075 Westheimer Suite 975w, Houston, TX 77056
Phone number
(713) 980-4600
Established
Texas since 02/21/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 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#
BANORTE SECURITIES HOLDINGS INTERNATIONAL, INC.SOLE SHAREHOLDER
BARRAZA, JUAN CARLOSCHIEF INVESTMENT OFFICER2979487
FIGUEROA, JORGE ANTONIOCHIEF OPERATING OFFICER7757962
HERNANDEZ, JULIO RENECHIEF FINANCIAL OFFICER/FINOP7750518
HERNANDEZ, MARIA GENOVEVADIRECTOR OF GROWTH STRATEGY5697097
RODRIGUEZ, JOSE RAMONCHIEF EXECUTIVE OFFICER4392639
VALDIVIESO, JUAN FERNANDOCHIEF COMPLIANCE OFFICER2820438

Disclosures

Regulatory Event4

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

BANORTE SECURITIES INTERNATIONAL, LTD.

CRD#: 30648Houston, TX 77056

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