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PP

Pedro L. Pinto De Sousa

BOREAL CAPITAL SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4866583
PP

Professional summary

Pedro Lourenco Pinto De Sousa is a registered financial professional currently at BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Pedro is registered as a RR (Registered Representative) and started their career in finance in 2004. Pedro has worked at 3 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Pedro Lourenco Pinto De Sousa'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

July 22, 2021 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131
BD
CRD#: 158599
Miami, FL
Past

August 1, 2012 - July 16, 2021

EFG CAPITAL INTERNATIONAL

BD
CRD#: 40118
MIAMI, FL
Past

December 9, 2004 - May 18, 2012

BRICKELL GLOBAL MARKETS, INC.

BD
CRD#: 104316
MIAMI, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BOREAL CAPITAL SECURITIES LLC
BOREAL CAPITAL SECURITIES LLC | MORA WM SECURITIES, LLC | MORA WM SECURITIES

CRD#: 158599 / SEC#: , 8-68910

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

Main Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131
Mailing Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131
Phone number
(305) 459-5400
Established
Delaware since 06/17/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOREAL CAPITAL HOLDINGS USA, LLCOWNER / MEMBER
FRANCES, JOAQUIN NMNCEO4551274
GAETA, ROBERT BYRONCHIEF COMPLIANCE OFFICER\AMLCO1770315
STICE, HAROLD EUGENEFINOP1349210

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.

Company Information

BOREAL CAPITAL SECURITIES LLC

CRD#: 158599Miami, FL 33131

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