Armando Florez
Professional Summary
Armando Florez is a registered financial advisor currently at SAFRA SECURITIES LLC located in Miami, Florida. Armando is registered as a RR (Registered Representative) and started their career in finance in 2013. Armando has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
SAFRA SECURITIES CORPORATION | SAFRA SECURITIES LLC
Contact Information
Main Address
546 Fifth Ave, New York, NY 10036Mailing Address
546 Fifth Ave, New York, NY 10036Phone Number
(212) 704-5500Established
Delaware since 12/31/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (45 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | — |
| BONFIM, CARLOS CESAR BERTACO | BOARD MEMBER | — |
| COLOMBO, RAFAELO | DEPUTY CEO & BOARD MEMBER | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | PRESIDENT, CEO & BOARD MEMBER | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | BOARD MEMBER | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
Regulatory Event
2Arbitration
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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
(9/9/2026)
(9/13/2024)
(9/9/2026)
(5/12/2025)
(9/13/2024)
(9/13/2024)
(10/4/2024)
(4/3/2026)
(9/9/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2013About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Armando Florez's CRS (Customer Relationship Summary).
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