CF
Carlos A. Ferreira
ITAU INTERNATIONAL SECURITIES
Miami, FL 33131
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CRD#: 4219965
CF
Professional summary
Carlos A Ferreira, who also goes by Carlos Ferreira, is a registered financial advisor currently at ITAU INTERNATIONAL SECURITIES INC. located in Miami, Florida.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Carlos has worked at 6 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Ferreira
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.
I am an Investor for Banco Itau International (BII) located at 200 S. Biscayne Blvd, Suite 2200, Miami, FL 33131. It is a US Edge Act banking entity and affiliate of Itau International Securities (IIS). Their website is www.ITAUPRIVATEBANK.COM. I advise clients in Equities, FX, Mutual Funds, NDFs, Structured Notes, and OTC Options for clients of mentioned entity. Compensation is based on salary and annual bonus paid by IIS. I spend approximately 5 hours per week devoted to it during normal business hours (8am to 5pm).
CRS (Client Relationship Summary) - RIA
Click below to view Carlos A Ferreira's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos A Ferreira's 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®
NoneExperience
Current
August 1, 2024 - Present
ITAU INTERNATIONAL SECURITIES INC.
Office #1: 200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131Office #2: 200 S. Biscayne Blvd Suite 2200, Miami, FL 33131Office #3: 200 S. Biscayne Blvd Suite 2200, Miami, FL 33131RIA
BD
CRD#: 144769
Miami, FL
Current
June 18, 2024 - Present
ITAU INTERNATIONAL SECURITIES INC.
Office #1: 200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131Office #2: 200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131Office #3: 200 S. Biscayne Blvd Suite 2200, Miami, FL 33131RIA
BD
CRD#: 144769
Miami, FL
Past
January 21, 2020 - December 18, 2023
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
MIAMI, FL
Past
June 28, 2019 - May 3, 2024
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
MIAMI, FL
Past
January 1, 2010 - June 26, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
September 11, 2008 - January 1, 2010
UBS INTERNATIONAL INC.
BD
CRD#: 107726
NEW YORK, NY
Past
December 3, 2007 - July 7, 2008
KAUFMAN BROS., L.P.
BD
CRD#: 37909
NEW YORK, NY
Past
September 4, 2006 - December 13, 2007
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
NEW YORK, NY
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.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(6/18/2024)
RR
Connecticut(6/18/2024)
RR
Florida(6/18/2024)
IAR
Florida(8/1/2024)
RR
New York(6/18/2024)
RR
Texas(6/18/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
II
ITAU INTERNATIONAL SECURITIES INC.
ITAU EUROPA SECURITIES INC. | ITAU SECURITIES | ITAU INTERNATIONAL SECURITIES INC.
CRD#: 144769 / SEC#: 801-112301, 8-67674
RIA
Registered Investment Advisory firm - SEC (7/22/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (7/19/2022 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131
Mailing Address
200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131
Phone number
(305) 416-7813
Established
Delaware since 03/08/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
35
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ITAU BBA INTERNATIONAL PLC | DIRECT OWNER | |
| AAGESEN, MARCELO | DIRECTOR - EXECUTIVE REPRESENTATIVE - HEAD OF MARKETS | 6905674 |
| BALTOVSKI, ALEXANDER | PRINCIPAL OPERATIONS OFFICER | 2350828 |
| BEYRUTI, FERNANDO MATTAR | DIRECTOR AND CHAIRMAN | 6629310 |
| BRITO DE LIMA, MARCIO | HEAD INVESTOR | 6954691 |
| COHEN, ALAN MARCEL | HEAD TRADER | 6921752 |
| DE OLIVEIRA MARQUES, FERNANDO LUIZ | HEAD OF COMMERCIAL | 7861011 |
| GAITAN, SARA CATALINA | CHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 4733588 |
| GAMBA, THIAGO DA SILVA | CHIEF COMPLIANCE OFFICER - ITAU PRIVATE BANK MIAMI | 6622732 |
| GLYNN, MICHAEL GERARD | CHIEF FINANCIAL OFFICER, FINOP/PRINCIPAL FINANCIAL OFFICER | 3219445 |
| MOREIRA, PERCY AUGUSTO | DIRECTOR | 4882443 |
Regulatory assets under management
| Total Number of Accounts | 34 |
| AUM (Assets Under Management) | $ 56,559,226 |
Red Flags
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Company Information
ITAU INTERNATIONAL SECURITIES INC.
CRD#: 144769Miami, FL 33131TRUST BUT VERIFY
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