Mauricio R. Alves
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.
Mauricio R. Alves, who also goes by Mauricio R Alves, Mauricio Rodrigues Alves, Mauricio Alves, was a registered financial professional .
Mauricio is a previously registered financial professional and started their career in finance in 2004. Mauricio had worked at 5 firms and has passed the Series 63, Series 66, SIE 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
June 5, 2025 - April 6, 2026
EFG CAPITAL INTERNATIONAL
February 23, 2021 - March 31, 2025
BRADESCO INVESTMENTS INC.
September 3, 2019 - February 3, 2021
EQUITABLE ADVISORS, LLC
January 17, 2018 - May 15, 2019
J.P. MORGAN SECURITIES LLC
May 11, 2016 - January 11, 2018
EQUITABLE ADVISORS, LLC
October 4, 2004 - May 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2004 - May 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
EFG CAPITAL INTERNATIONAL
CRD#: 40118 / SEC#: 801-120569, 8-48969
Contact information
FINRA licenses (30 States and Territories)
Documents
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 | 6 |
Red Flags
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