Pamela M. Barrera Barron
Professional summary
Being a previously registered professional could mean that this person 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.
Pamela Montserrat Barrera Barron, who also goes by Pamela Monserrat Barrera Barron, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 2007. Pamela had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2019 - November 24, 2021
SAFRA SECURITIES LLC
October 12, 2015 - December 5, 2018
UBS FINANCIAL SERVICES INC.
October 7, 2015 - December 5, 2018
UBS FINANCIAL SERVICES INC.
May 22, 2014 - July 22, 2015
CGIS ADVISORS LLC
December 5, 2012 - July 22, 2015
CGIS SECURITIES LLC
October 9, 2012 - November 9, 2012
BULLTICK INVESTMENTS, LLC
November 30, 2010 - August 3, 2012
HSBC SECURITIES (USA) INC.
March 17, 2010 - October 8, 2010
DOMINICK & DICKERMAN LLC
August 16, 2007 - April 15, 2010
ATLAS ONE FINANCIAL GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 2/29/2024
General Securities Representative ExaminationCurrent Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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