Hector Arturo Rojas Provenzali
Professional Summary
Hector Arturo Rojas Provenzali, who also goes by Hector Arturo Rojas, is a registered financial advisor currently at CG COMPASS (USA) LLC located in Miami, Florida. Hector is registered as a RR (Registered Representative) and started their career in finance in 2014. Hector has worked at 3 firms and has passed the Series 66, Series 57TO, SIE, Series 55, 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
Hector Arturo Rojas
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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
12 years in the financial services industry
Current & Past Employments
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Current Firm
CG COMPASS (USA) LLC
Contact Information
Main Address
590 Madison Ave 33rd Floor, New York, NY 10022Mailing Address
590 Madison Ave 33rd Floor, New York, NY 10022Phone Number
(212) 355-7630Established
Delaware since 10/01/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (18 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(2/4/2020)
(1/21/2020)
(1/21/2020)
(1/21/2020)
(7/22/2021)
(3/17/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2014SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Hector Arturo Rojas Provenzali's CRS (Customer Relationship Summary).
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