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RP

Rodrigo Paiva

AVENUE SECURITIES LLC
Miami, FL 33133
Some features on this profile are disabled
CRD#: 5011819
RP

Professional summary

Rodrigo Paiva is a registered financial professional currently at AVENUE SECURITIES LLC located in Miami, Florida.

Rodrigo is registered as a RR (Registered Representative) and started their career in finance in 2005. Rodrigo has worked at 5 firms and has passed the Series 63, Series 66, Series 3, 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 Rodrigo Paiva'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 13, 2022 - Present

AVENUE SECURITIES LLC

Office #1: 2601 S Bayshore Drive Suite 1100, Miami, FL 33133
BD
CRD#: 292589
Miami, FL
Past

May 31, 2017 - September 1, 2022

BTG PACTUAL US CAPITAL, LLC

BD
CRD#: 149486
Miami, FL
Past

July 7, 2010 - November 2, 2011

FIRST TRYON SECURITIES, LLC

BD
CRD#: 7336
ATLANTA, GA
Past

June 27, 2007 - April 29, 2009

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA
Past

December 20, 2006 - July 9, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ATLANTA, GA
Past

December 18, 2006 - July 9, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ATLANTA, GA
Past

November 29, 2005 - November 3, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ATLANTA, GA
Past

November 10, 2005 - November 3, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ATLANTA, GA

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
Florida
(9/13/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/23/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/24/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/31/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AVENUE SECURITIES LLC
AVENUE SECURITIES LLC

CRD#: 292589 / SEC#: , 8-70079

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

Main Address
2601 S Bayshore Drive Suite 1100, Miami, FL 33133
Mailing Address
2601 S Bayshore Drive Suite 1100, Miami, FL 33133
Phone number
(786) 220-7233
Established
Delaware since 12/05/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 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#
AVENUE HOLDINGS INC.SOLE MEMBER
ARTMANN, ALEXANDRE WAEHNELDTPOO2804856
HOPKINS, THOMAS JOHNFINOP, PFO1835087
LEE, ROBERTO LLOPISCHIEF EXECUTIVE OFFICER6918129
RAMOS, OLGA ENIDCCO2852961

Disclosures

Regulatory Event2

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

AVENUE SECURITIES LLC

CRD#: 292589Miami, FL 33133

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