Roberto D. De Azevedo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roberto Dannemann De Azevedo, who also goes by Jose Roberto De Azevedo, Roberto De Azevedo, Jose Roberto Dannemann De Azevedo, was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 2002. Roberto had worked at 6 firms and has passed the Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2024 - January 12, 2026
TRADESTATION SECURITIES, INC.
January 3, 2017 - June 1, 2021
BROKERTEC AMERICAS LLC
October 7, 2013 - January 3, 2017
TP ICAP GLOBAL MARKETS AMERICAS LLC
June 1, 2004 - July 14, 2004
TULLETT LIBERTY BROKERAGE INC.
June 1, 2004 - September 11, 2013
TULLETT PREBON FINANCIAL SERVICES LLC
July 19, 2002 - August 8, 2002
GFI SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/2/2024
General Securities Representative ExaminationCurrent Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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