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CC

Claudia R. Cazelato

EFG CAPITAL INTERNATIONAL
MIAMI, FL 33131-2867
Some features on this profile are disabled
CRD#: 5604008
CC

Professional summary

Claudia Regina Cazelato, who also goes by Claudia R Cazelato, is a registered financial professional currently at EFG CAPITAL INTERNATIONAL located in Miami, Florida.

Claudia is registered as a RR (Registered Representative) and started their career in finance in 2015. Claudia has worked at 7 firms and has passed the SIE, Series 7, Series 4, Series 24, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Claudia R Cazelato

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 Claudia Regina Cazelato'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

November 6, 2024 - Present

EFG CAPITAL INTERNATIONAL

Office #1: 701 Brickell Ave 9th Floor & Suite 1310, Miami, FL 33131-2867
BD
CRD#: 40118
MIAMI, FL
Past

October 9, 2024 - November 1, 2024

ALLARIA SECURITIES, LLC

BD
CRD#: 286504
MIAMI, FL
Past

October 13, 2023 - August 28, 2024

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
Miami, FL
Past

March 26, 2018 - August 28, 2024

INSIGNEO SECURITIES, LLC

BD
CRD#: 29249
MIAMI, FL
Past

October 11, 2017 - March 28, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CORAL GABLES, FL
Past

January 8, 2016 - October 26, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIAMI, FL
Past

April 13, 2015 - October 1, 2015

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
MIAMI, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/6/2024)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/13/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/10/2025
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/20/2017
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/28/2016
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

EC
EFG CAPITAL INTERNATIONAL
BDD CAPITAL INTERNATIONAL CORP. | EFG CAPITAL INTERNATIONAL CORP. | EFG CAPITAL INTERNATIONAL | EFG CAPITAL | BDD INTERNATIONAL, LTD.

CRD#: 40118 / SEC#: 801-120569, 8-48969

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

Main Address
701 Brickell Ave 9th Floor & Suite 1350, Miami, FL 33131
Mailing Address
701 Brickell Ave 9th Floor & Suite 1310, Miami, FL 33131-2867
Phone number
(305) 482-8000
Established
Delaware since 01/03/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

EFG CAPITAL FORM ADV BROCHURE (2/18/2021)

Direct owners and executive officers

NamePositionCRD#
EFG CAPITAL HOLDINGS CORP.PARENT
ARGUMEDO, GUILLERMO ARTUROSENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL2542794
BORGES, LEONARDO SILVAPRINCIPAL OPERATIONS OFFICER5637377
ECHEVARRIA, VICTOR MANUELCHAIRMAN OF THE BOARD1939548
GONZALEZ, CARLOS JAVIERCHIEF COMPLIANCE OFFICER4294205
LEVERETT, KYLE LAWRENCEPRINCIPAL FINANCIAL OFFICER6123446
MESQUITA, SILVANA SOBRALAMLCO6983852
MOHOROVIC, SANJINCEO6849141

Disclosures

Regulatory Event6

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

EFG CAPITAL INTERNATIONAL

CRD#: 40118Miami, FL 33131-2867

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