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RF

Rodrigo Fonseca Fernandes

BRADESCO SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 6493171
RF

Professional summary

Rodrigo Fonseca Fernandes, who also goes by Rodrigo Fernandes, is a registered financial professional currently at BRADESCO SECURITIES, INC. located in New York, New York.

Rodrigo is registered as a RR (Registered Representative) and started their career in finance in 2015. Rodrigo has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rodrigo Fernandes

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 Rodrigo Fonseca Fernandes'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

October 24, 2018 - Present

BRADESCO SECURITIES, INC.

Office #1: 450 Park Avenue 32nd Floor, New York, NY 10022
BD
CRD#: 104347
New York, NY
Past

July 1, 2015 - October 19, 2018

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

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
New York
(10/24/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/2015
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: 7/1/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BS
BRADESCO SECURITIES, INC.
BRADESCO BBI | BRADESCO SECURITIES, INC.

CRD#: 104347 / SEC#: , 8-52806

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

Main Address
450 Park Avenue 32nd Floor, New York, NY 10022
Mailing Address
450 Park Avenue 32nd Floor, New York, NY 10022
Phone number
(212) 888-9142
Established
Delaware since 04/28/2000
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#
BANCO BRADESCO S.A.SOLE SHAREHOLDER OF APPLICANT'S COMMON STOCK
BEHAR, ISABELA MARTACHIEF COMPLIANCE OFFICER2940509
BOETGER, BRUNO D'AVILA MELOCHAIRMAN OF THE BOARD OF DIRECTORS2505487
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
MARQUES, RUI MIGUEL ALEIXOVICE-CHAIRMAN OF THE BOARD OF DIRECTORS7304773
PORTNOFF, DAVID ROSSFINANCIAL AND OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER2977967
REITZFELD, FERNANDO RAIZCHIEF EXECUTIVE OFFICER / MEMBER OF THE BOARD OF DIRECTORS7514819

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

BRADESCO SECURITIES, INC.

CRD#: 104347New York, NY 10022

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