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AC

Andres Carpio

GFG SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 6764912
AC

Professional summary

Andres Carpio is a registered financial professional currently at GFG SECURITIES, LLC located in Miami, Florida.

Andres is registered as a RR (Registered Representative) and started their career in finance in 2017. Andres has worked at 1 firm and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Andres Carpio'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

March 21, 2017 - Present

GFG SECURITIES, LLC

Office #1: 701 Brickell Avenue Suite 1400, Miami, FL 33131
BD
CRD#: 132602
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
Florida
(3/21/2017)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GFG SECURITIES, LLC
GFG SECURITIES, LLC

CRD#: 132602 / SEC#: , 8-66606

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

Main Address
701 Brickell Avenue Suite 1400, Miami, FL 33131
Mailing Address
701 Brickell Avenue Suite 1400, Miami, FL 33131
Phone number
(305) 810-6555
Established
Delaware since 03/03/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 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#
GFG HOLDINGS LLCMEMBER
MEZA, RODRIGO ALONSOMEMBER7288164
GEORGE, KENNETH RONALDFINOP2643369
GRANATA, VERONICA NMNGENERAL COUNSEL / CCO5923033
GRUENER, EDUARDO NMNCO-CEO2790331
GRUENER, MAURICIO NMNCO-CEO3119575
PEREZ, LEON NMNPARTNER5457524

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

GFG SECURITIES, LLC

CRD#: 132602Miami, FL 33131

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