Gustavo M. Rosa
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.
Gustavo Mardegan Rosa was a registered financial professional .
Gustavo is a previously registered financial professional and started their career in finance in 2007. Gustavo had worked at 3 firms and has passed the Series 63, SIE, Series 55 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
September 6, 2013 - May 20, 2015
BANCO VOTORANTIM SECURITIES, INC.
July 20, 2009 - May 18, 2010
ITAU INTERNATIONAL SECURITIES INC.
June 5, 2007 - September 23, 2011
ITAU BBA USA 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
Series 55
Date: 5/7/2014
Limited Representative-Equity Trader ExamCurrent Firm
BANCO VOTORANTIM SECURITIES, INC.
CRD#: 139788 / SEC#: , 8-67258
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO VOTORANTIM S.A. | PARENT | |
| AZEVEDO, ALVARO JORGE FONTES DE | DIRECTOR | 6077909 |
| BONZANINI, PAULO EUCLIDES | DIRECTOR | 6739868 |
| BRITTO, FELIPE BULCAO L. | CCO | 4287953 |
| BRITTO, FELIPE BULCAO L. | PRESIDENT, CEO | 4287953 |
| DOS SANTOS, ELCIO JORGE | DIRECTOR | 6736517 |
| FAJNZYLBER, RICARDO ABRAHAO | DIRECTOR | 6741022 |
| PORTNOFF, DAVID ROSS | FINOP, CFO | 2977967 |
Red Flags
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