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DF

Diogo G. Ferreira

AVENUE SECURITIES LLC
Miami, FL 33133
Some features on this profile are disabled
CRD#: 6460159
DF

Professional summary

Diogo G Ferreira, who also goes by Diogo Ferreira, is a registered financial professional currently at AVENUE SECURITIES LLC located in Miami, Florida.

Diogo is registered as a RR (Registered Representative) and started their career in finance in 2016. Diogo has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diogo Ferreira

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.
Business Name: AVENUE GLOBAL ADVISORS Investment Related: Yes Address: 2601 S BAYSHORE DR, SUITE 1100, Miami, FL 33133 Business Nature: RIA Approximately hrs Per Month: 10 Approximately hrs on trading hrs: 0 Start: 2021/10/01 Position Held: Investment Advisor Representative Business Duty Description: Investment Advisor Representative

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diogo G Ferreira'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

October 5, 2021 - Present

AVENUE SECURITIES LLC

Office #1: 2601 S Bayshore Drive Suite 1100, Miami, FL 33133
BD
CRD#: 292589
Miami, FL
Past

November 9, 2021 - March 25, 2024

AVENUE GLOBAL ADVISORS LLC

RIA
CRD#: 304498
MIAMI, FL
Past

September 10, 2020 - September 24, 2021

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
Saint Petersburg, FL
Past

September 9, 2020 - September 24, 2021

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

January 27, 2020 - August 19, 2020

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 144426
ORLANDO, FL
Past

January 22, 2020 - August 19, 2020

GLOBAL ASSETS ADVISORY, LLC

RIA
CRD#: 300460
ORLANDO, FL
Past

August 1, 2016 - August 19, 2020

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, 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
(10/5/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/6/2020
Uniform Combined 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: 8/1/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/23/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AVENUE SECURITIES LLC
AVENUE SECURITIES LLC

CRD#: 292589 / SEC#: , 8-70079

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

Main Address
2601 S Bayshore Drive Suite 1100, Miami, FL 33133
Mailing Address
2601 S Bayshore Drive Suite 1100, Miami, FL 33133
Phone number
(786) 220-7233
Established
Delaware since 12/05/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 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#
AVENUE HOLDINGS INC.SOLE MEMBER
ARTMANN, ALEXANDRE WAEHNELDTPOO2804856
HOPKINS, THOMAS JOHNFINOP, PFO1835087
LEE, ROBERTO LLOPISCHIEF EXECUTIVE OFFICER6918129
RAMOS, OLGA ENIDCCO2852961

Disclosures

Regulatory Event2

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

AVENUE SECURITIES LLC

CRD#: 292589Miami, FL 33133

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