AM
Ana R. Mota
BANCO DO BRASIL SECURITIES LLC
Miami, FL
Some features on this profile are disabled
CRD#: 5890907
AM
Professional summary
Ana Regina Mota, who also goes by Ana R Mota, Ana Regina Mota, Ana Mota, is a registered financial advisor currently at BANCO DO BRASIL SECURITIES LLC located in Miami, Florida.
Ana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Ana has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ana R Mota | Ana Regina Mota | Ana Mota
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. The name of the other business: Varadero en la Pequena Havana 2. Whether the business is investment-related: Yes, Real Estate investment. 3. The address of the other business: 450 SW 3rd St, Apt# 19, Miami, FL 33130 4. The nature of the other business: rental property 5. Your position: Owner 6. Title: Owner 7. Relationship with the other business: Owner of apartment on a residential building. 8. The start date of your relationship: Aug 2020. 9. The approximate number of hours/month you devote to the other business: 1 10. The number of hours you devote to the other business during securities trading hours: 0 11. Briefly describe your duties relating to the other business: collect rent, fairly constant contact with tenant. President of the Board of the Directors (BOA) of Varadero en la Peque�a Havana 1. The name of the other business:BOD of Varadero en la Pequena Havana 2. Whether the business is investment-related: Yes, Real Estate investment. 3. The address of the other business: 450 SW 3rd St, Miami, FL 33130 4. The nature of the other business: President of BOD 5. Your position: President 6. Title: President of BOD 7. Relationship with the other business: President of BOD for the Association 8. The start date of your relationship: Aug 2020. 9. The approximate number of hours/month you devote to the other business: 1 10. The number of hours you devote to the other business during securities trading hours: 0 11. Briefly describe your duties relating to the other business: help voluntarily the HOA with all related activities, approval of new tenant and owners, meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Ana Regina Mota's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ana Regina Mota'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
July 13, 2023 - 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 33131RIA
BD
CRD#: 132701
Miami, FL
Current
July 12, 2023 - 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 33131RIA
BD
CRD#: 132701
MIAMI, FL
Past
September 27, 2019 - July 13, 2023
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
Miami, FL
Past
September 26, 2019 - July 13, 2023
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
Miami, FL
Past
June 4, 2014 - August 27, 2019
MORGAN STANLEY
RIA
CRD#: 149777
MIAMI, FL
Past
June 3, 2014 - August 27, 2019
MORGAN STANLEY
BD
CRD#: 149777
MIAMI, FL
Past
July 30, 2012 - May 20, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
July 27, 2012 - May 20, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
October 3, 2011 - July 9, 2012
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
MIAMI, FL
Past
September 30, 2011 - July 9, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MIAMI, FL
Past
June 28, 2011 - September 27, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
April 20, 2011 - September 27, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
RR
Alabama(9/5/2023)
RR
California(7/12/2023)
RR
Colorado(7/12/2023)
RR
Delaware(7/12/2023)
RR
District of Columbia(7/12/2023)
RR
Florida(7/12/2023)
IAR
Florida(7/13/2023)
RR
Indiana(9/5/2023)
RR
Maryland(7/12/2023)
RR
Minnesota(7/12/2023)
RR
New York(7/12/2023)
RR
South Dakota(4/16/2024)
RR
Texas(7/12/2023)
RR
Virginia(7/12/2023)
RR
Washington(7/12/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
