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GM

Gustavo M. Miwa

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CRD#: 6701574
GM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gustavo Massauyuki Miwa, who also goes by Gustavo Massayuki Miwa, was a registered financial professional .

Gustavo is a previously registered financial professional and started their career in finance in 2016. Gustavo had worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gustavo Massayuki Miwa

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 12, 2016 - August 24, 2018

BRADESCO SECURITIES, INC.

BD
CRD#: 104347
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/22/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/27/2017
General Securities Principal Examination

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#: 104347

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