Joao Paulo Lemos
Professional summary
Joao Paulo Lemos, who also goes by Joao Paulo Lemos, Joao Paulo, is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.
Joao Paulo is registered as a RR (Registered Representative) and started their career in finance in 2007. Joao Paulo has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joao Paulo Lemos's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 26, 2022 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036Office #2: 546 Fifth Avenue, New York, NY 10036May 7, 2018 - July 13, 2022
SUMRIDGE PARTNERS, LLC
August 15, 2016 - April 5, 2018
ITAU BBA USA SECURITIES, INC.
June 14, 2011 - August 23, 2016
CREDIT AGRICOLE SECURITIES (USA) INC.
June 12, 2009 - September 17, 2009
CREDIT AGRICOLE SECURITIES (USA) INC.
April 22, 2009 - June 16, 2009
SANTANDER SECURITIES LLC
December 20, 2007 - March 2, 2009
SANTANDER SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/26/2022)
(7/26/2022)
Exams
FINRA
Current 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 |
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