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Norberto Zaiet Jr

CRD# 5223875·Registered 2006 - 2015
Previously Registered: Being a previously registered professional could mean that Norberto 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.

Professional Summary

Norberto Zaiet JR, who also goes by Norberto Zaiet, was a registered financial advisor. Norberto was a previously registered financial professional and started their career in finance 2006 - 2015. Norberto had worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Norberto Zaiet

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

20 years in the financial services industry

Current & Past Employments

PINE SECURITIES USA LLC·CRD# 161289
BD
New York, NY
October 9, 2012 - March 26, 2015
BRICKELL GLOBAL MARKETS, INC.·CRD# 104316
BD
New York, NY
June 4, 2009 - June 9, 2010
PORTIGON SECURITIES INC.·CRD# 10050
BD
New York, NY
October 13, 2006 - May 6, 2009

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Current Firm

PS
PINE SECURITIES USA LLC

PINE SECURITIES USA LLC

CRD#: 161289 / SEC#: 8-69040
BD
Terminated by SEC on 11/29/2015

Contact Information

Established

Delaware since 01/23/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BANCO PINE S.A.SOLE MEMBER—
GOULD, DAVID MICHAELCHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER5743397
PINHEIRO JR, NOBERTO NOGUEIRACHAIRMAN6023706
ROCHE, PASCALFINANCIAL AND OPERATIONS PRINCIPAL5920968

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Mar 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2006About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2009About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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