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AA

Alessandro Agnone

SAFRA SECURITIES LLC
Aventura, FL 33180
Some features on this profile are disabled
CRD#: 5870529
AA

Professional summary

Alessandro Agnone is a registered financial professional currently at SAFRA SECURITIES LLC located in Aventura, Florida.

Alessandro is registered as a RR (Registered Representative) and started their career in finance in 2011. Alessandro has worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Alessandro Agnone'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

June 7, 2024 - Present

SAFRA SECURITIES LLC

Office #1: 21500 Biscayne Boulevard - Suite #503, Aventura, FL 33180
BD
CRD#: 47873
Aventura, FL
Past

March 19, 2024 - June 6, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
CORAL GABLES, FL
Past

March 18, 2024 - June 6, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
CORAL GABLES, FL
Past

September 20, 2022 - January 4, 2024

EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.

RIA
CRD#: 158905
MIAMI, FL
Past

December 2, 2020 - January 4, 2024

EFG CAPITAL INTERNATIONAL

BD
CRD#: 40118
MIAMI, FL
Past

April 14, 2020 - December 3, 2020

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Miami, FL
Past

January 9, 2018 - March 11, 2020

FOLIONET FINANCIAL LLC

BD
CRD#: 283965
MIAMI, FL
Past

June 26, 2017 - January 24, 2018

LEUCADIA ASSET MANAGEMENT LLC

RIA
CRD#: 121767
NEW YORK, NY
Past

May 5, 2017 - January 24, 2018

JEFFERIES LLC

BD
CRD#: 2347
MIAMI, FL
Past

May 13, 2014 - May 9, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MIAMI, FL
Past

May 12, 2014 - May 9, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIAMI, FL
Past

June 20, 2011 - May 13, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MIAMI, FL
Past

May 17, 2011 - May 13, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MIAMI, FL
Past

February 18, 2011 - May 16, 2011

ACTIVA CAPITAL MARKETS, INC.

BD
CRD#: 42619
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
Arizona
(6/7/2024)
RR
California
(6/7/2024)
RR
Delaware
(6/7/2024)
RR
District of Columbia
(6/7/2024)
RR
Florida
(6/7/2024)
RR
Illinois
(1/15/2026)
RR
Maine
(6/7/2024)
RR
Nevada
(1/15/2026)
RR
New Jersey
(6/7/2024)
RR
New York
(6/7/2024)
RR
Texas
(6/7/2024)
RR
Washington
(6/7/2024)
RR
Wyoming
(12/4/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/18/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/17/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/12/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/20/2018
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SAFRA SECURITIES LLC
SAFRA SECURITIES CORPORATION | SAFRA SECURITIES LLC

CRD#: 47873 / SEC#: , 8-51935

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

Main Address
546 Fifth Ave, New York, NY 10036
Mailing Address
546 Fifth Ave, New York, NY 10036
Phone number
(212) 704-5500
Established
Delaware since 12/31/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (45 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#
SAFRA NATIONAL BANK OF NEW YORKSOLE SHAREHOLDER
BONFIM, CARLOS CESAR BERTACODIRECTOR
COLOMBO, RAFAELODIRECTOR6054935
DIBIASI, ANTHONYFINOP6435706
GRUNWALD, MARK STEVENDIRECTOR & PRESIDENT3262204
JAVIER, SIGMUND PETERDIRECTOR6002619
MCCARTHY, GERARD THOMASCHIEF COMPLIANCE OFFICER3121615
MORATO, SIMONI PASSOSDIRECTOR5568481
OSWALD, THOMAS FRANCISCHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER1828798
YOU, SANG MIN JIMMYCHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER6693855

Disclosures

Regulatory Event2
Arbitration1

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

SAFRA SECURITIES LLC

CRD#: 47873Aventura, FL 33180

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