Mauricio R. Alves

EFG CAPITAL INTERNATIONAL

MIAMI, FL 33131-2867

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CRD#: 4735118

Professional summary

Mauricio R. Alves, who also goes by Mauricio R Alves, Mauricio Rodrigues Alves, Mauricio Alves, is a registered financial professional currently at EFG CAPITAL INTERNATIONAL located in Miami, Florida.

Mauricio is registered as a RR (Registered Representative) and started their career in finance in 2004. Mauricio has worked at 5 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mauricio R Alves | Mauricio Rodrigues Alves | Mauricio Alves

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) - BD

Click below to view Mauricio R. Alves'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

June 5, 2025 - Present

EFG CAPITAL INTERNATIONAL

Office #1: 701 Brickell Ave 9th Floor & Suite 1310, Miami, FL 33131-2867

CRD#: 40118

MIAMI, FL

Past

February 23, 2021 - March 31, 2025

BRADESCO INVESTMENTS INC.

CRD#: 19453

CORAL GABLES, FL

Past

September 3, 2019 - February 3, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

MIAMI, FL

Past

January 17, 2018 - May 15, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

MIAMI, FL

Past

May 11, 2016 - January 11, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

MIAMI, FL

Past

October 4, 2004 - May 9, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MIAMI, FL

Past

January 29, 2004 - May 9, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(6/5/2025)

Exams

State Security Law Exam

Series 63

Date: 2/12/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/30/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EFG CAPITAL INTERNATIONAL

BDD CAPITAL INTERNATIONAL CORP. | EFG CAPITAL INTERNATIONAL CORP. | EFG CAPITAL INTERNATIONAL | EFG CAPITAL | BDD INTERNATIONAL, LTD.

CRD#: 40118 / SEC#: 801-120569, 8-48969

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

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Contact information

Main Address

701 Brickell Ave 9th Floor & Suite 1350, Miami, FL 33131

Mailing Address

701 Brickell Ave 9th Floor & Suite 1310, Miami, FL 33131-2867

Phone number

(305) 482-8000

Established

Delaware since 01/03/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

EFG CAPITAL FORM ADV BROCHURE (2/18/2021)

Direct owners and executive officers

Name	Position	CRD#
EFG CAPITAL HOLDINGS CORP.	PARENT
ARGUMEDO, GUILLERMO ARTURO	SENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL	2542794
BORGES, LEONARDO SILVA	PRINCIPAL OPERATIONS OFFICER	5637377
ECHEVARRIA, VICTOR MANUEL	CHAIRMAN OF THE BOARD	1939548
GONZALEZ, CARLOS JAVIER	CHIEF COMPLIANCE OFFICER	4294205
LEVERETT, KYLE LAWRENCE	PRINCIPAL FINANCIAL OFFICER	6123446
MESQUITA, SILVANA SOBRAL	AMLCO	6983852
MOHOROVIC, SANJIN	CEO	6849141

Disclosures

Regulatory Event

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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Mauricio R. Alves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mauricio R. Alves's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRADESCO INVESTMENTS INC.

EQUITABLE ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

EQUITABLE ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/12/2018

Series 66

Date: 9/30/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2016

FINRA

Current Firm

EFG CAPITAL INTERNATIONAL

Contact information

FINRA licenses (30 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EFG CAPITAL INTERNATIONAL

TRUST BUT VERIFY

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