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Hector A. Rojas Provenzali

CG COMPASS (USA) LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 6290965
HR

Professional summary

Hector Arturo Rojas Provenzali, who also goes by Hector Arturo Rojas, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hector Arturo Rojas

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 Hector Arturo Rojas Provenzali'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

January 21, 2020 - Present

CG COMPASS (USA) LLC

Office #1: 1441 Brickell Avenue Suite 1430, Miami, FL 33131
BD
CRD#: 129837
Miami, FL
Past

December 12, 2018 - January 22, 2020

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MIAMI, FL
Past

August 16, 2018 - January 22, 2020

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MIAMI, FL
Past

February 20, 2014 - July 30, 2018

VSI SECURITIES, INC.

BD
CRD#: 114419
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
Connecticut
(2/4/2020)
RR
Florida
(1/21/2020)
RR
Missouri
(1/21/2020)
RR
New York
(1/21/2020)
RR
South Carolina
(7/22/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/11/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/4/2014
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/20/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/22/2024
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/22/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CG COMPASS (USA) LLC
CG COMPASS (USA) LLC

CRD#: 129837 / SEC#: , 8-66263

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

Main Address
590 Madison Ave 33rd Floor, New York, NY 10022
Mailing Address
590 Madison Ave 33rd Floor, New York, NY 10022
Phone number
(212) 355-7630
Established
Delaware since 10/01/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 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#
COMPASS GROUP HOLDINGS INC.OWNER
ALVAREZ, ENRIQUEFINOP4622342
ALVIZUA, PEDRO GERARDOCHIEF COMPLIANCE OFFICER6441839
ROJAS PROVENZALI, HECTOR ARTUROCEO & EXECUTIVE REPRESENTATIVE6290965

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

CG COMPASS (USA) LLC

CRD#: 129837Miami, FL 33131

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