FR
Fabio L. Rios Nogales Garces
BANCO DO BRASIL SECURITIES LLC
Miami, FL
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CRD#: 5788772
FR
Professional summary
Fabio Luis Rios Nogales Garces, who also goes by Fabio Rios, Fabio Luis Rios Nogales, Fabio Luis Rios-nogales, Fabio Luis Rios-nogales Garces, is a registered financial advisor currently at BANCO DO BRASIL SECURITIES LLC located in Miami, Florida.
Fabio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Fabio has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fabio Rios | Fabio Luis Rios Nogales | Fabio Luis Rios-Nogales | Fabio Luis Rios-Nogales Garces
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.
1.Consultant, SVP for NRN Insight, Inc. / Miami, FL / Company provides consulting service to Law Firms and outsource controller & finance consulting mainly in the Biotechnology industry. Since March 2020. Approx. 1-10 hours a month. 2.Santimed Consulting LLC/ Miami, FL / Discovery & Development of novel therapies in rare diseases / Biotech Medical Consulting. Accounting & Operations / Since April 2022 - vary approx. 10-20 hours a week. 3.Edel BioSciences Inc. / Miami, FL / Discovery & Development of novel therapies in rare diseases / Biotech Medical Consulting. Accounting & Operations / Since September 2022 - vary approx. 10-20 hours a week.
CRS (Client Relationship Summary) - RIA
Click below to view Fabio Luis Rios Nogales Garces's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fabio Luis Rios Nogales Garces's 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®
NoneExperience
Current
September 7, 2022 - Present
BANCO DO BRASIL SECURITIES LLC
Office #2: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Office #3: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Office #4: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131RIA
BD
CRD#: 132701
Miami, FL
Current
September 28, 2020 - Present
BANCO DO BRASIL SECURITIES LLC
Office #1: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Office #2: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Office #3: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131RIA
BD
CRD#: 132701
MIAMI, FL
Past
October 27, 2015 - August 19, 2019
BRICKELL GLOBAL ADVISORY, INC.
RIA
CRD#: 156643
MIAMI, FL
Past
March 5, 2015 - August 19, 2019
BRICKELL GLOBAL MARKETS, INC.
BD
CRD#: 104316
MIAMI, FL
Past
December 2, 2014 - February 25, 2015
BOREAL CAPITAL SECURITIES LLC
BD
CRD#: 158599
MIAMI, FL
Past
May 20, 2014 - November 24, 2014
BRICKELL GLOBAL MARKETS, INC.
BD
CRD#: 104316
MIAMI, FL
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.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
IAR
Florida(9/7/2022)
RR
New York(9/28/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BD
BANCO DO BRASIL SECURITIES LLC
BANCO DO BRASIL SECURITIES LLC
CRD#: 132701 / SEC#: , 8-66625
Florida
Registered Investment Advisory firm - SEC (9/6/2022 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
2 South Biscayne Blvd. Suite #3150, Miami, FL 33131
Mailing Address
2 South Biscayne Blvd. Suite #3150, Miami, FL 33131
Phone number
(407) 608-1780
Established
New York since 07/12/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
10
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO DO BRASIL S.A. | SOLE MEMBER | |
| ABREU, JULIANO MARCATTO DE | MEMBER OF THE BOARD OF DIRECTORS | 7971425 |
| FRANCA, MELISSA BUENO | CHIEF COMPLIANCE OFFICER & AMLCO | 5185735 |
| FRUET JUNIOR, JOAO FRANCISCO | MEMBER OF THE BOARD OF DIRECTORS | 6759546 |
| INCERROMEO, MARIA ESTIBALIZ | CHIEF INVESTMENT OFFICER | 5885341 |
| MOREIRA, JEFERSON MUNHOZ | CHIEF BUSINESS OFFICER / BOM | 5083219 |
| PORTNOFF, DAVID ROSS | FINOP/CFO | 2977967 |
| RIOS NOGALES GARCES, FABIO LUIS | PRINCIPAL OPERATIONS OFFICER | 5788772 |
| ROSSI, GUILHERME ALEXANDRE | MEMBER OF THE BOARD OF DIRECTORS | 7824752 |
| SILVA ROSOSTOLATO, DIOGO | CHIEF EXECUTIVE OFFICER | 7629292 |
Disclosures
| Civil Event | 1 |
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.
