Carlos R. Ferreira Lima

XP ADVISORY US

Miami, FL 33131

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CRD#: 4280015

Professional summary

Carlos R Ferreira Lima, who also goes by Carlos Roberto Ferreira Lima, Carlos R Ferreira Lima, Carlos Roberto Ferreira Lima, Carlos Ferreira Lima, is a registered financial advisor currently at XP ADVISORY US, INC. located in Miami, Florida and XP INVESTMENTS US, LLC located in Miami, Florida.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Carlos has worked at 10 firms and has passed the Series 66, Series 63, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Roberto Ferreira Lima | Carlos R Ferreira Lima | Carlos Roberto Ferreira Lima | Carlos Ferreira Lima

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 Carlos R Ferreira Lima'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

November 25, 2025 - Present

XP ADVISORY US, INC.

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

RIA

CRD#: 173779

Miami, FL

Current

November 10, 2025 - Present

XP INVESTMENTS US, LLC

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

CRD#: 156691

Miami, FL

Past

April 21, 2021 - November 4, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MIAMI, FL

Past

April 20, 2021 - November 4, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MIAMI, FL

Past

September 17, 2018 - May 6, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

May 4, 2018 - May 6, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMI, FL

Past

February 18, 2011 - September 27, 2012

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 131631

CORAL GABLES, FL

Past

January 26, 2011 - September 27, 2012

CAPITAL GUARDIAN, LLC

CRD#: 137919

CORAL GABLES, FL

Past

October 6, 2009 - December 31, 2010

BOLTON SECURITIES CORPORATION

RIA

CRD#: 129376

CORAL GABLES, FL

Past

August 21, 2009 - December 31, 2010

BOLTON GLOBAL CAPITAL

CRD#: 15650

CORAL GABLES, FL

Past

January 21, 2009 - August 3, 2009

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

MIAMI, FL

Past

October 28, 2008 - August 3, 2009

HSBC SECURITIES (USA) INC.

CRD#: 19585

MIAMI, FL

Past

November 13, 2000 - January 20, 2005

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

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

Florida
(11/10/2025)

IAR

Florida
(11/25/2025)

New York
(11/10/2025)

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: 7/26/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/29/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/24/2019

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/2018

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Carlos R. Ferreira Lima

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos R Ferreira Lima's CRS (Customer Relationship Summary).

Certified licenses

Experience

XP INVESTMENTS US, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CAPITAL GUARDIAN, LLC

BOLTON SECURITIES CORPORATION

BOLTON GLOBAL CAPITAL

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

LASALLE FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

XP ADVISORY US, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/26/2018

Series 63

Date: 1/29/2001

Series 3

Date: 6/24/2019

SIE

Date: 10/1/2018

Series 7

Date: 5/4/2018

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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