Juliana T. Desouza

Some features on this profile are disabled

CRD#: 5409221

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.

Juliana T Desouza, CFP®, who also goes by Juliana T Desouza, Juliana Theresa Desouza, Juliana Theresa Desouza Madi, Juliana Theresa Desouza-fingal, Juliana Theresa Fingal, was a registered financial professional .

Juliana is a previously registered financial professional and started their career in finance in 2008. Juliana had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Juliana T Desouza | Juliana Theresa Desouza | Juliana Theresa Desouza Madi | Juliana Theresa Desouza-Fingal | Juliana Theresa Fingal

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.

ZEIDERS ENTERPRISES POSITION: Personal Financial Counselor - Provide financial education and solution focused counseling. NATURE: Provide services that improve the lives of service members, veteran and families INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 4 START DATE: 11/16/2017 ADDRESS: 2750 Killarney Drive, suite 100, Woodbridge VA 22192, United States DESCRIPTION: Provide Financial education and credit counseling. No specific advice provided. Duties are Focused on education

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Past

August 3, 2021 - October 31, 2022

ELLEVEST

RIA

CRD#: 175476

NEW YORK, NY

Past

August 4, 2017 - February 19, 2019

LINCOLN INVESTMENT

RIA

CRD#: 519

Iselin, NJ

Past

August 4, 2017 - February 19, 2019

CAPITAL ANALYSTS

RIA

CRD#: 162200

Iselin, NJ

Past

August 2, 2017 - February 19, 2019

LINCOLN INVESTMENT

CRD#: 519

Iselin, NJ

Past

June 2, 2015 - April 19, 2017

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

UNION, NJ

Past

May 13, 2015 - April 19, 2017

CAPITAL ONE INVESTING, LLC

CRD#: 45744

UPPER MONTCLAIR, NJ

Past

April 3, 2014 - May 18, 2015

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

RICHMOND HILL, NY

Past

August 6, 2012 - March 26, 2014

PRUCO SECURITIES, LLC.

CRD#: 5685

UNIONDALE, NY

Past

May 14, 2010 - March 9, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

KEW GARDENS, NY

Past

May 11, 2010 - March 9, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

KEW GARDENS, NY

Past

July 1, 2009 - December 31, 2009

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

CAMBRIA HEIGHTS, NY

Past

June 1, 2009 - December 31, 2009

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

CAMBRIA HEIGHTS, NY

Past

February 1, 2008 - May 18, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

RESEARCH TRIANGLE PARK, NC

Past

January 4, 2008 - May 18, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

RESEARCH TRIANGLE PARK, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ELLEVEST

ELLEVATE FINANCIAL, INC. | ELLEVEST, INC. | ELLEVEST

CRD#: 175476 / SEC#: 801-106683

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/14/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/20/2013

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ELLEVEST

ELLEVATE FINANCIAL, INC. | ELLEVEST, INC. | ELLEVEST

CRD#: 175476 / SEC#: 801-106683

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

228 Park Ave S Pmb 94934, New York, NY 10003

Mailing Address

228 Park Ave S Pmb 94934, New York, NY 10003-1502

Phone number

(844) 355-7100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ELLEVEST WRAP FEE PROGRAM BROCHURE (3/31/2025)

ELLEVEST INVESTMENT ADVISORY BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 1,012,582,923

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Juliana T. Desouza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LINCOLN INVESTMENT

CAPITAL ANALYSTS

LINCOLN INVESTMENT

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

ALLSTATE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

ELLEVEST

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2008

SIE

Date: 10/1/2018

Series 7

Date: 1/3/2008

Series 26

Date: 11/20/2013

Current Firm

ELLEVEST

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLEVEST

TRUST BUT VERIFY

Similar Advisors