Henrique S. Catarino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Henrique Sorgi Catarino was a registered financial professional .
Henrique is a previously registered financial professional and started their career in finance in 2012. Henrique had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2012 - February 22, 2017
BANCO VOTORANTIM SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BANCO VOTORANTIM SECURITIES, INC.
CRD#: 139788 / SEC#: , 8-67258
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO VOTORANTIM S.A. | PARENT | |
| AZEVEDO, ALVARO JORGE FONTES DE | DIRECTOR | 6077909 |
| BONZANINI, PAULO EUCLIDES | DIRECTOR | 6739868 |
| BRITTO, FELIPE BULCAO L. | CCO | 4287953 |
| BRITTO, FELIPE BULCAO L. | PRESIDENT, CEO | 4287953 |
| DOS SANTOS, ELCIO JORGE | DIRECTOR | 6736517 |
| FAJNZYLBER, RICARDO ABRAHAO | DIRECTOR | 6741022 |
| PORTNOFF, DAVID ROSS | FINOP, CFO | 2977967 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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