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JS

Jorge Setoain

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CRD#: 6793801
JS

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.

Jorge Setoain, who also goes by Jorge Setoain, Jorge Setoain Munne, was a registered financial professional .

Jorge is a previously registered financial professional and started their career in finance in 2017. Jorge had worked at 4 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jorge Setoain | Jorge Setoain Munne

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.
Visionarium LLC; Visionarium Creativity & Leadership Incubator; Not investment-related; New York, NY; Affiliation started 08/15/2017; Advisory Board Member; Guide students to reach their full potential by providing them with the tools and environment to identify their passion, develop a vision and pursue social change, through programs that provide unique training, hands on experience; No time devoted during securities trading hours; 1 hour is devoted each month outside securities trading hours.

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 25, 2022 - October 11, 2023

SVB WEALTH

RIA
CRD#: 172832
New York, NY
Past

July 26, 2019 - May 23, 2022

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

April 29, 2019 - May 23, 2022

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 29, 2019 - May 23, 2022

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
New York, NY
Past

July 28, 2017 - April 4, 2019

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

June 27, 2017 - April 4, 2019

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE

CRD#: 172832 / SEC#: 801-80480

RIA
Registered Investment Advisory firm - (10/2/2014 Approved)

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
IAR
Series 66
Date: 7/28/2017
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 3
Date: 6/22/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/2017
General Securities Representative Examination

Current Firm

SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE

CRD#: 172832 / SEC#: 801-80480

RIA
Registered Investment Advisory firm - (10/2/2014 Approved)
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Contact information

Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)
SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts3,739
AUM (Assets Under Management)$ 4,983,411,995

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/21/2025
Cover Page
Report
09/20/2024
Cover Page
Report
10/31/2022
Cover Page
Report

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

SVB WEALTH

CRD#: 172832

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