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DD

Daniel P. De Albuquerque Sousa

BRASIL PLURAL SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 6069773
DD

Professional summary

Daniel Pedrosa De Albuquerque Sousa, who also goes by Daniel Sousa, is a registered financial professional currently at BRASIL PLURAL SECURITIES LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2018. Daniel has worked at 2 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 27, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Sousa

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 Daniel Pedrosa De Albuquerque Sousa'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

August 29, 2012 - Present

BRASIL PLURAL SECURITIES LLC

Office #1: 950 Third Avenue Suite 1702, New York, NY 10022Office #2: 950 Third Avenue Suite 1702, New York, NY 10022Office #3: 401 North Michigan Suite 1219, Chicago, IL 60611
BD
CRD#: 159384
New York, NY
Past

January 24, 2018 - February 28, 2018

BRASIL PLURAL INVESTMENT ADVISOR LLC

RIA
CRD#: 288563
NEW YORK, NY

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
California
(12/4/2015)
RR
Florida
(2/19/2016)
RR
Georgia
(3/16/2022)
RR
Illinois
(4/21/2021)
RR
Massachusetts
(12/7/2015)
RR
New York
(9/5/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/25/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/19/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/2/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 6/6/2014
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/6/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/29/2019
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/12/2015
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BRASIL PLURAL SECURITIES LLC
B PLURAL SECURITIES LLC | PLURAL SECURITIES LLC | PLURAL | PKBR SECURITIES LLC | BRASIL PLURAL SECURITIES LLC | BPS | BPLURAL | BP | B. PLURAL SECURITIES LLC | B. PLURAL SECURITIES

CRD#: 159384 / SEC#: , 8-68982

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
950 Third Avenue Suite 1702, New York, NY 10022
Mailing Address
950 Third Avenue Suite 1702, New York, NY 10022
Phone number
(212) 388-5600
Established
Delaware since 09/09/2011
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (8 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#
BRASIL PLURAL HOLDINGS LLCSOLE OWNER
CHOR GOLDENSTEIN, PRISCILLACOO7146090
GEORGE, THOMAS KEITHFINOP5378303
WELCH, JOHN HOWARDCHIEF COMPLIANCE OFFICER/AMLCO2869306

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

BRASIL PLURAL SECURITIES LLC

CRD#: 159384New York, NY 10022

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