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Adrian N. Exposito

GALICIA CAPITAL US
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 5791518
AE

Professional summary

Adrian Nmn Exposito, who also goes by Adrian Exposito, is a registered financial professional currently at GALICIA CAPITAL US, LLC located in Miami, Florida.

Adrian is registered as a RR (Registered Representative) and started their career in finance in 2012. Adrian has worked at 7 firms and has passed the Series 65, Series 99TO, SIE, Series 7, Series 99, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adrian Exposito

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 Adrian Nmn Exposito'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

December 8, 2024 - Present

GALICIA CAPITAL US, LLC

Office #1: 1395 Brickell Ave Suite 950, Miami, FL 33131
BD
CRD#: 329157
MIAMI, FL
Past

August 4, 2016 - December 13, 2024

BOLTON GLOBAL CAPITAL

BD
CRD#: 15650
Miami, FL
Past

December 10, 2014 - May 18, 2016

BOREAL CAPITAL SECURITIES LLC

BD
CRD#: 158599
MIAMI, FL
Past

May 14, 2014 - December 9, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIAMI, FL
Past

July 25, 2013 - May 7, 2014

STATETRUST INVESTMENTS INC.

BD
CRD#: 104651
BOCA RATON, FL
Past

January 2, 2013 - March 27, 2013

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MIAMI, FL
Past

March 5, 2012 - January 10, 2013

INSIGNEO SECURITIES, LLC

BD
CRD#: 29249
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
(12/8/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/10/2015
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/8/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 3/2/2012
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/14/2024
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/16/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GALICIA CAPITAL US, LLC
GALICIA CAPITAL US, LLC

CRD#: 329157 / SEC#: , 8-71205

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

Main Address
1395 Brickell Ave Suite 950, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 950, Miami, FL 33131
Phone number
(786) 840-4830
Established
Florida since 10/23/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GALICIA HOLDINGS US, INC.MEMBER
ATTANASIO, ELIZABETH MARIEFINOP5325007
EXPOSITO, ADRIAN NMNGENERAL SUPERVISORY PRINCIPAL5791518
GENDLER, GABRIEL ENRIQUECHIEF COMPLIANCE OFFICER4754607

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

GALICIA CAPITAL US, LLC

CRD#: 329157Miami, FL 33131

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