Oswaldo D. Abreu

ITAU INTERNATIONAL SECURITIES

Miami, FL 33131

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CRD#: 4532747

Professional summary

Oswaldo Daniel Abreu, who also goes by Ozzie Abreu, Oswaldo Abreu, is a registered financial advisor currently at ITAU INTERNATIONAL SECURITIES INC. located in Miami, Florida.

Oswaldo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Oswaldo has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ozzie Abreu | Oswaldo Abreu

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.

Columbus Capital Lending, www.columbuscl.com. Located at 12955 SW 42nd St, Suite 7, Miami, FL 33174. Mortgage Loan Originator for residential home loans. Time spent is 20 hours per month, none of which take placed during trading hours. Compensation is commission based on loan originations. Luxe Properties, www.liveluxehomes.com. Located at 55 Merrick Way #402, Coral Gable, FL 33134 . Real estate company. Time spent is 1 hour per week, none of which takes place during trading hours. Compensation is based on referral fees, agreed upon at the time of the transaction.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oswaldo Daniel Abreu's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Oswaldo Daniel Abreu'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

August 12, 2021 - 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 33131

RIA

CRD#: 144769

Miami, FL

Current

August 11, 2021 - 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 33131

RIA

CRD#: 144769

Miami, FL

Past

August 5, 2020 - December 21, 2020

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MIAMI, FL

Past

June 1, 2020 - December 21, 2020

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MIAMI, FL

Past

February 10, 2020 - April 6, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MIAMI, FL

Past

February 6, 2020 - April 6, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MIAMI, FL

Past

May 20, 2019 - December 31, 2019

PFS INVESTMENTS INC.

CRD#: 10111

MIAMI, FL

Past

November 17, 2010 - August 21, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COCONUT GROVE, FL

Past

August 20, 2010 - August 21, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COCONUT GROVE, FL

Past

May 21, 2004 - August 10, 2010

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

MIAMI, FL

Past

May 11, 2004 - August 10, 2010

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

MIAMI, FL

Past

November 10, 2003 - May 6, 2004

UNION PLANTERS INVESTMENT ADVISORS, INC.

RIA

CRD#: 111807

HIALEAH, FL

Past

August 6, 2002 - January 16, 2003

UNION PLANTERS INVESTMENT ADVISORS, INC.

RIA

CRD#: 111807

NORTH MIAMI BEACH, FL

Past

June 12, 2002 - May 4, 2004

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

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
(8/12/2021)

IAR

Florida
(8/12/2021)

New York
(8/15/2021)

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: 7/25/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/20/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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).

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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

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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

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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Oswaldo D. Abreu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oswaldo Daniel Abreu's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Oswaldo Daniel Abreu's CRS (Customer Relationship Summary).

Certified licenses

Experience

ITAU INTERNATIONAL SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PFS INVESTMENTS INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

UNION PLANTERS INVESTMENT ADVISORS, INC.

UNION PLANTERS INVESTMENT ADVISORS, INC.

PFIC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2002

SIE

Date: 8/21/2018

Series 7

Date: 6/11/2002

Series 24

Date: 6/20/2005

FINRA

Current Firm

ITAU INTERNATIONAL SECURITIES INC.

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

ITAU INTERNATIONAL SECURITIES INC.

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