Andre L. Rizzo
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.
Andre Luiz Rizzo was a registered financial professional .
Andre is a previously registered financial professional and started their career in finance in 2002. Andre had worked at 6 firms and has passed the Series 63, Series 3, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2022 - January 31, 2023
XP INVESTMENTS US, LLC
August 2, 2017 - October 23, 2019
NOMURA SECURITIES INTERNATIONAL, INC.
May 25, 2016 - July 31, 2017
IMPERIAL CAPITAL, LLC
November 7, 2011 - October 2, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2004 - June 6, 2011
BARCLAYS CAPITAL INC.
June 13, 2002 - August 2, 2004
ICBC STANDARD SECURITIES INC.
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
Current Firm
XP INVESTMENTS US, LLC
CRD#: 156691 / SEC#: , 8-68817
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| XP HOLDING INTERNATIONAL, LLC | PARENT COMPANY | |
| COSTA, JOSE EDUARDO | CHIEF EXECUTIVE OFFICER | 4983100 |
| GOMEZ, ADELIA MARIEL | CHIEF OPERATING OFFICER/ PRINCIPAL OPERATIONS OFFICER | 5477182 |
| SINGER, STEVEN FREDERIC | PRINCIPAL FINANCIAL OFFICER | 2360737 |
| WILSON, JARED RYAN | CHIEF COMPLIANCE OFFICER/ AML COMPLIANCE OFFICER | 5322068 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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