Ricardo J. Ventura

XP ADVISORY US

Miami, FL 33131

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CRD#: 4246963

Professional summary

Ricardo Jorge Ventura is a registered financial advisor currently at XP ADVISORY US, INC. located in Miami, Florida and XP INVESTMENTS US, LLC located in Miami, Florida.

Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ricardo has worked at 6 firms and has passed the Series 66, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Ricardo Jorge Ventura'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

June 15, 2018 - Present

XP ADVISORY US, INC.

Office #1: 701 Brickell Avenue Suite 2120, Miami, FL 33131

RIA

CRD#: 173779

Miami, FL

Current

March 14, 2017 - Present

XP INVESTMENTS US, LLC

Office #1: 701 Brickell Avenue 21st Floor, Miami, FL 33131

CRD#: 156691

Miami, FL

Past

August 9, 2016 - March 6, 2017

EFG CAPITAL ADVISORS INC.

RIA

CRD#: 112224

MIAMI, FL

Past

July 23, 2012 - November 6, 2014

EFG CAPITAL ADVISORS LLC

RIA

CRD#: 145208

MIAMI, FL

Past

February 5, 2003 - March 6, 2017

EFG CAPITAL INTERNATIONAL

CRD#: 40118

MIAMI, FL

Past

March 6, 2001 - January 27, 2003

BRICKELL GLOBAL MARKETS, INC.

CRD#: 104316

MIAMI, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

XP ADVISORY US, INC.

XP ADVISORS, INC | XP PRIVATE, INC. | XP ADVISORY US, INC.

CRD#: 173779 / SEC#: 801-114590

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

Florida

Registered Investment Advisory firm - (2/5/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(4/25/2025)

California
(10/28/2024)

Florida
(3/14/2017)

IAR

Florida
(6/15/2018)

New York
(7/6/2022)

North Carolina
(11/11/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/9/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/1/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/13/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

XP ADVISORY US, INC.

XP ADVISORS, INC | XP PRIVATE, INC. | XP ADVISORY US, INC.

CRD#: 173779 / SEC#: 801-114590

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

Florida

Registered Investment Advisory firm - (2/5/2019 Terminated)

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Contact information

Main Address

701 Brickell Avenue Suite 2120, Miami, FL 33131

Mailing Address

Phone number

(786) 725-5983

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

XP ADVISORY US, INC. WRAP FEE BROCHURE (3/19/2025)

XP ADVISORY US, INC FORM ADV PART 2A BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	386
AUM (Assets Under Management)	$ 1,563,934,974

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.

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Firm Stability Insights

Ricardo J. Ventura

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Jorge Ventura's CRS (Customer Relationship Summary).

Certified licenses

Experience

XP INVESTMENTS US, LLC

EFG CAPITAL ADVISORS INC.

EFG CAPITAL ADVISORS LLC

EFG CAPITAL INTERNATIONAL

BRICKELL GLOBAL MARKETS, INC.

Primary Firm SEC Registration

XP ADVISORY US, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/9/2011

SIE

Date: 10/1/2018

Series 55

Date: 12/1/2000

Series 7

Date: 10/13/2000

Series 24

Date: 11/13/2003

FINRA

Current Firm

XP ADVISORY US, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

XP ADVISORY US, INC.

TRUST BUT VERIFY

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