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MP

Maria G. Patron Costas

GFI SECURITIES
New York, NY 10041
Some features on this profile are disabled
CRD#: 4974686
MP

Professional summary

Maria Guadalupe Patron Costas, who also goes by Maria Patron-costas, is a registered financial professional currently at GFI SECURITIES LLC located in New York, New York.

Maria is registered as a RR (Registered Representative) and started their career in finance in 2006. Maria has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maria Patron-Costas

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 Maria Guadalupe Patron Costas'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

September 3, 2019 - Present

GFI SECURITIES LLC

Office #1: 55 Water Street 10th Floor, New York, NY 10041
BD
CRD#: 19982
New York, NY
Past

April 7, 2017 - March 28, 2019

XP INVESTMENTS US, LLC

BD
CRD#: 156691
NEW YORK, NY
Past

May 7, 2010 - April 27, 2017

MEI NEW YORK, INC

BD
CRD#: 140807
NEW YORK, NY
Past

June 30, 2006 - May 19, 2009

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(9/3/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/28/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/31/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GS
GFI SECURITIES LLC
12TH STREET CAPITAL, A DIVISION OF GFI SECURITIES LLC | SUNRISE BROKERS, A DIVISION OF GFI SECURITIES LLC | SUNRISE A DIVISION OF GFI SECURITIES | LATIUM, A DIVISION OF GFI SECURITIES LLC | GFI SECURITIES LLC | GFI GROUP, INC. | G.F.I. GROUP, INC. | FENICS-PM, A DIVISION OF GFI SECURITIES LLC | CAVENTOR CAPITAL, A DIVISION OF GFI SECURITIES LLC. | AUREL PARTNERS A DIVISION OF GFI SECURITIES LLC

CRD#: 19982 / SEC#: , 8-43548

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
55 Water Street 10th Floor, New York, NY 10041
Mailing Address
55 Water Street 10th Floor, New York, NY 10041
Phone number
(212) 968-2032
Established
New York since 07/09/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 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#
GFINET INC.SOLE MEMBER
ABULARRAGE, JOHN JOSEPHCHIEF EXECUTIVE OFFICER3265633
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
HAUF, JASON WILLIAMSCHIEF FINANCIAL OFFICER4163331
LEWIS, THOMAS JOSEPHPRINCIPAL2684821
LYNCH, MARTINCHIEF OPERATING OFFICER5612726
SULFARO, MICHAEL CARLCHIEF COMPLIANCE OFFICER2483562

Disclosures

Regulatory Event30

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

GFI SECURITIES LLC

CRD#: 19982New York, NY 10041

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