Gustavo Lima Pontes
Professional Summary
Gustavo Lima Pontes, who also goes by Gustavo Lima Pontes, Gustavo Pontes, is a registered financial advisor currently at BTG PACTUAL US CAPITAL, LLC located in Miami, Florida. Gustavo is registered as a RR (Registered Representative) and started their career in finance in 2011. Gustavo has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 34, Series 3, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gustavo Lima Pontes, Gustavo Pontes
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
BTG CAPITAL CORP. | BTG SECURITIES CORPORATION | BTG PACTUAL WEALTH MANAGEMENT | BTG PACTUAL US CAPITAL, LLC | BTG PACTUAL US CAPITAL LLC | BTG PACTUAL US CAPITAL CORP. | BTG PACTUAL US
Contact Information
Main Address
601 Lexington Avenue 57th Floor, New York, NY 10022-6831Mailing Address
601 Lexington Avenue 57th Floor, New York, NY 10022-6831Phone Number
(212) 293-4600Established
Delaware since 05/07/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BTG PACTUAL BANCORP LLC | MANAGING MEMBER | — |
| CAMPOS, LUCIANA | CHIEF FINANCIAL OFFICER/FINOP | 5875481 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER | 6388373 |
| LIMA PONTES, GUSTAVO | CHIEF OPERATING OFFICER | 5910623 |
| MORITZ CAVALCANTI, RENATO | CO-CEO | 7626573 |
| PARK, DEAN SANG YOON | CHIEF COMPLIANCE OFFICER | 4096412 |
| TENENTE, ADRIANO FERNANDES | CO-CEO | 5248572 |
Disclosures
Regulatory Event
2Civil Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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(7/10/2012)
(12/13/2011)
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(7/31/2012)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gustavo Lima Pontes's CRS (Customer Relationship Summary).
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