Nicolas Gustavo Sapriza
Professional Summary
Nicolas Gustavo Sapriza is a registered financial advisor currently at INSIGNEO SECURITIES, LLC. Nicolas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nicolas has worked at 2 firms and has passed the Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
GLOBAL INVESTOR SERVICES, L.C. | INSIGNEO SECURITIES, LLC | HENCORP, INC. AND THE BECSTONE GROUP, INC. | HENCORP, BECSTONE & CO. | HENCORP BECSTONE SECURITIES, LC
Contact Information
Main Address
1221 Brickell Ave 27th Floor, Miami, FL 33131Mailing Address
1221 Brickell Ave 27th Floor, Miami, FL 33131Phone Number
(305) 373-9000Established
Florida since 12/24/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL GROUP LLC | MEMBER - CLASS A | — |
| INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | — |
| INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | — |
| ARANA LANDAETA, MARIELA CECILIA | HEAD OF CLIENT EXPERIENCE | 4830220 |
| ARNETT, GEORGE WASHINGTON III | GENERAL COUNSEL AND DIRECTOR | 1057806 |
| AVERETT, MICHAEL ROBERT | CO-MANAGER/CHIEF GROWTH OFFICER AND DIRECTOR | 5311774 |
| CANINO QUINONES, LIZMARI | HEAD OF SALES SUPERVISION | 6007866 |
| CAULFIELD, JUSTIN PAUL SR | CHIEF COMPLIANCE OFFICER | 5699024 |
| CEDENO, CLAUDIA | BSA | AML OFFICER | 5235772 |
| CHUANG, ERIC C | HEAD OF BROKERAGE COMPLIANCE | 3215724 |
| EFFIO, TAMARIND | BUSINESS DEVELOPMENT OFFICER | 7255243 |
| HENRIQUEZ, RAUL JR | CHAIRMAN OF THE BOARD | 1647412 |
| NUNEZ, FRANCISCO | DIRECTOR | 8017439 |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| QUINONES GUILLEMARD, TOMAS R | HEAD OF RISK & CONTROLS | 4746543 |
| RIESGO, AHMED | CHIEF INVESTMENT OFFICER | 5020318 |
| RIVERA CRUZ, MIGUEL ANGEL | FINOP/HEAD OF PUERTO RICO TAX AFFAIRS | 3255902 |
| RIVERO, JAVIER | CO-MANAGER/CHIEF OF ADVISOR EXPERIENCE AND DIRECTOR | 4498023 |
| WATSON, CHRISTIAN PIERCE | HEAD OF TRADING | 4917370 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(12/5/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicolas Gustavo Sapriza's CRS (Customer Relationship Summary).
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