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EB

Ervin J. Bautista

ROBINHOOD FINANCIAL
Lake Mary, FL 32746
CRD#: 7099790
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EB
Ervin J BautistaROBINHOOD FINANCIAL

Professional summary

Ervin J Bautista, who also goes by Ervin Bautista, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida and ROBINHOOD SECURITIES, LLC located in Lake Mary, Florida.

Ervin is registered as a RR (Registered Representative) and started their career in finance in 2020. Ervin has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ervin Bautista

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 Ervin J Bautista'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 4, 2021 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746
BD
CRD#: 165998
Lake Mary, FL
Current

September 22, 2023 - Present

ROBINHOOD SECURITIES, LLC

Office #1: 500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
BD
CRD#: 287900
Lake Mary, FL
Past

January 7, 2020 - September 24, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
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
Florida
(10/4/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/7/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/16/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/11/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/24/2022
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
ROBINHOOD SECURITIES, LLC
ROBINHOOD SECURITIES, LLC

CRD#: 287900 / SEC#: , 8-69916

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

Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 10/27/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ROBINHOOD MARKETS, INCMEMBER
BILLINGS, MATTHEW JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1915377
CAVALLARO, ANTHONY JOSEPHCHIEF COMPLIANCE OFFICER1607925
GALVIN, SCOT SEANCHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER3226179
KELATI, DANIEL TCHIEF FINANCIAL OFFICER AND FINOP3103432
QUIRK, STEVEN MARKMANAGER2728768
SUBRAMANIAN, SIVARAMAKRISHNANMANAGER7339479

Disclosures

Regulatory Event2
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

ROBINHOOD SECURITIES, LLC

CRD#: 287900Lake Mary, FL 32746

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