Rodrigo Nieto Galvis

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CRD#: 5439701

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.

Rodrigo Nieto Galvis, who also goes by Rodrigo Nieto, was a registered financial professional .

Rodrigo is a previously registered financial professional and started their career in finance in 2007. Rodrigo had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rodrigo Nieto

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)

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®

None

Experience

Past

August 6, 2015 - January 6, 2016

CREAND MANAGEMENT

RIA

CRD#: 154894

MIAMI, FL

Past

July 27, 2015 - January 6, 2016

CREAND SECURITIES

CRD#: 38964

MIAMI, FL

Past

April 16, 2014 - July 17, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MIAMI, FL

Past

February 19, 2014 - July 17, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MIAMI, FL

Past

July 19, 2011 - March 21, 2013

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

May 13, 2011 - March 21, 2013

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 20, 2009 - April 29, 2011

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

November 13, 2007 - May 27, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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".

CREAND MANAGEMENT

BETA CAPITAL MANAGEMENT LLC | CREAND WEALTH MANAGEMENT | CREAND MANAGEMENT

CRD#: 154894 / SEC#: 801-106772

RIA

Registered Investment Advisory firm - (10/13/2015 Approved)

Florida

Registered Investment Advisory firm - (10/23/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/23/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 65

Date: 7/18/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/6/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2007

General Securities Representative Examination

Current Firm

CREAND MANAGEMENT

BETA CAPITAL MANAGEMENT LLC | CREAND WEALTH MANAGEMENT | CREAND MANAGEMENT

CRD#: 154894 / SEC#: 801-106772

RIA

Registered Investment Advisory firm - (10/13/2015 Approved)

Florida

Registered Investment Advisory firm - (10/23/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/23/2015 Terminated)

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Contact information

Main Address

777 Brickell Avenue Suite 1201, Miami, FL 33131

Mailing Address

Phone number

(305) 358-8844

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CREAND ADV BROCHURE - MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	140
AUM (Assets Under Management)	$ 533,350,459

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
04/17/2025	Cover Page	Report

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.

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Rodrigo Nieto Galvis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CREAND SECURITIES

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CREDIT SUISSE SECURITIES (USA) LLC

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

CREAND MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/2011

Series 63

Date: 1/29/2008

SIE

Date: 1/6/2016

Series 7

Date: 11/12/2007

Current Firm

CREAND MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CREAND MANAGEMENT

TRUST BUT VERIFY

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