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FM

Filipe M. Marques

FINANTIA USA
Miami, FL 33131
Some features on this profile are disabled
CRD#: 6179457
FM

Professional summary

Filipe Miguel Dias Marques is a registered financial professional currently at FINANTIA USA INC. located in Miami, Florida.

Filipe is registered as a RR (Registered Representative) and started their career in finance in 2013. Filipe has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

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 Filipe Miguel Dias Marques'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®
None

Experience

Current

April 18, 2013 - Present

FINANTIA USA INC.

Office #1: 1221 Brickell Ave, Suite 1460, Miami, FL 33131
BD
CRD#: 39120
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
Florida
(5/12/2017)
RR
New York
(1/17/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/2014
Uniform Securities Agent 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: 4/17/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/20/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FU
FINANTIA USA INC.
FINANTIA BROKERS LTD | TWY INTERNATIONAL BROKERS LTD | FINANTIA USA LTD | FINANTIA USA INC.

CRD#: 39120 / SEC#: , 8-48578

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

Main Address
1221 Brickell Avenue 14th Floor Suite 1460, Miami, FL, 33131
Mailing Address
1221 Brickell Avenue 14th Floor Suite 1460, Miami, FL, 33131
Phone number
(786) 418-6720
Established
Delaware since 07/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FINANTIA UK LIMITEDDIRECT OWNER
DEPINHO, LILIAN REGINACCO3038931
MARQUES, FILIPE MIGUEL DIASMANAGING PRINCIPAL6179457
ROTHENBERG, SHARI PFINOP6590875

Disclosures

Regulatory Event1

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

FINANTIA USA INC.

CRD#: 39120Miami, FL 33131

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