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CS

Carolina M. Sanguinetti

FIRST SOUTHERN
Miami, FL 33131
Some features on this profile are disabled
CRD#: 5348220
CS

Professional summary

Carolina Maria Sanguinetti, who also goes by Carolina Tlaria Sanguinetti, Carolina Maria Sanguinetti Risso, is a registered financial professional currently at FIRST SOUTHERN, LLC located in Miami, Florida.

Carolina is registered as a RR (Registered Representative) and started their career in finance in 2009. Carolina has worked at 4 firms and has passed the SIE, Series 7, Series 99 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carolina Tlaria Sanguinetti | Carolina Maria Sanguinetti Risso

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 Carolina Maria Sanguinetti'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

May 1, 2025 - Present

FIRST SOUTHERN, LLC

Office #1: 777 Brickell Ave Suite 522, Miami, FL 33131
BD
CRD#: 282756
Miami, FL
Past

July 31, 2017 - January 23, 2025

INSIGNEO SECURITIES, LLC

BD
CRD#: 29249
MONTEVIDEO,
Past

August 27, 2015 - July 31, 2017

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MONTEVIDEO,
Past

December 23, 2009 - June 9, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MONTEVIDEO,

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: 3/8/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 8/26/2015
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/11/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FIRST SOUTHERN, LLC
ESH CAPITAL, LLC | GLOBAL SILICON VALLEY SECURITIES LLC | FIRST SOUTHERN, LLC

CRD#: 282756 / SEC#: , 8-69733

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

Main Address
2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772
Mailing Address
2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772
Phone number
(770) 777-9373
Established
Puerto Rico since 02/24/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 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#
BENT, INC.SHAREHOLDER
HEEHAW INC.SHAREHOLDER
VSPR, INC.SHAREHOLDER
PAGAN MARXUACH, RAFAEL ANTONIOOWNER2863850
HAWK, WILLIAM HEATHPRESIDENT/CEO/MANAGING MEMBER2494928
JACKELS, STEPHANIE KANEFINOP/PFO5928877
JONES, SHARON DOSTERCHIEF COMPLIANCE OFFICER3124470
SFYRIS, VASILEIOS ALEXIOSMANAGING MEMBER/POO4026992

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

FIRST SOUTHERN, LLC

CRD#: 282756Miami, FL 33131

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