Marcelo B. Lima

GALAPAGOS ADVISORY LLC

Miami, FL 33131

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CRD#: 5666111

Professional summary

Marcelo Barbosa Lima, who also goes by Marcelo Barbosa Lima, is a registered financial advisor currently at GALAPAGOS ADVISORY LLC located in Miami, Florida and ANDBANC BROKERAGE, LLC located in Miami, Florida.

Marcelo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Marcelo has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marcelo Barbosa Lima

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) - RIA

Click below to view Marcelo Barbosa Lima'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

August 10, 2024 - Present

GALAPAGOS ADVISORY LLC

Office #1: 201 S Biscayne Blvd Suite 1220, Miami, FL 33131

RIA

CRD#: 322042

Miami, FL

Current

September 18, 2018 - Present

ANDBANC BROKERAGE, LLC

Office #1: 201 S. Biscayne Boulevard, Suite 1100, Miami, FL 33131

CRD#: 155979

Miami, FL

Past

December 11, 2012 - August 21, 2018

STONEX FINANCIAL INC.

CRD#: 45993

MIAMI, FL

Past

October 27, 2010 - December 17, 2012

TRADEWIRE SECURITIES LLC

CRD#: 142348

CORAL GABLES, FL

Past

May 13, 2009 - October 8, 2010

CREDICORP CAPITAL LLC

CRD#: 136791

MIAMI, FL

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".

GALAPAGOS ADVISORY LLC

CRD#: 322042 / SEC#: 801-129546

RIA

Registered Investment Advisory firm - (2/22/2024 Approved)

Florida

Registered Investment Advisory firm - (2/27/2024 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(9/18/2018)

IAR

Florida
(8/10/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GALAPAGOS ADVISORY LLC

CRD#: 322042 / SEC#: 801-129546

RIA

Registered Investment Advisory firm - (2/22/2024 Approved)

Florida

Registered Investment Advisory firm - (2/27/2024 Terminated)

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Contact information

Main Address

201 S Biscayne Blvd Suite 1220, Miami, FL 33131

Mailing Address

Phone number

(305) 515-5878

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GALAPAGOS ADVISORY LLC FORM ADV PART 2A BROCHURE - OCTOBER 20, 2025 (10/21/2025)

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 274,862,189

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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Advisor Monitoring

Firm Stability Insights

Marcelo B. Lima

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcelo Barbosa Lima's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANDBANC BROKERAGE, LLC

STONEX FINANCIAL INC.

TRADEWIRE SECURITIES LLC

CREDICORP CAPITAL LLC

Primary Firm SEC Registration

GALAPAGOS ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2024

Series 63

Date: 3/10/2016

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2009

FINRA

Current Firm

GALAPAGOS ADVISORY LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALAPAGOS ADVISORY LLC

TRUST BUT VERIFY

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