LB
Luciana P. Batista
BANCO DO BRASIL SECURITIES LLC
Miami, FL
Some features on this profile are disabled
CRD#: 7110468
LB
Professional summary
Luciana P. Batista, who also goes by Luciana P Batista, Luciana Pedrosa Da Fonseca, Luciana Pedrosa Da Fonseca Guedes, Luciana Pedrosa Dafonseca Batista, is a registered financial professional currently at BANCO DO BRASIL SECURITIES LLC located in Miami, Florida.
Luciana is registered as a RR (Registered Representative) and started their career in finance in 2019. Luciana has worked at 1 firm and has passed the Series 63, Series 99TO, Series 7TO, Series 79TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Luciana P Batista | Luciana Pedrosa Da Fonseca | Luciana Pedrosa Da Fonseca Guedes | Luciana Pedrosa Dafonseca Batista
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.
CRS (Client Relationship Summary) - BD
Click below to view Luciana P. Batista'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®
NoneExperience
Current
June 20, 2019 - Present
BANCO DO BRASIL SECURITIES LLC
Office #2: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Office #3: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131RIA
BD
CRD#: 132701
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
Alabama(7/9/2019)
RR
Alaska(3/19/2024)
RR
Arizona(3/19/2024)
RR
Arkansas(3/19/2024)
RR
California(7/9/2019)
RR
Colorado(7/9/2019)
RR
Connecticut(7/9/2019)
RR
Delaware(7/9/2019)
RR
District of Columbia(7/9/2019)
RR
Florida(7/9/2019)
RR
Georgia(7/9/2019)
RR
Hawaii(3/19/2024)
RR
Idaho(3/19/2024)
RR
Illinois(7/9/2019)
RR
Indiana(3/19/2024)
RR
Iowa(7/9/2019)
RR
Kansas(3/19/2024)
RR
Kentucky(3/19/2024)
RR
Louisiana(3/19/2024)
RR
Maine(3/19/2024)
RR
Maryland(7/9/2019)
RR
Massachusetts(7/9/2019)
RR
Michigan(3/19/2024)
RR
Minnesota(7/9/2019)
RR
Mississippi(3/19/2024)
RR
Missouri(7/9/2019)
RR
Montana(3/19/2024)
RR
Nebraska(3/19/2024)
RR
Nevada(3/19/2024)
RR
New Hampshire(3/19/2024)
RR
New Jersey(7/9/2019)
RR
New Mexico(7/9/2019)
RR
New York(7/8/2019)
RR
North Carolina(3/19/2024)
RR
North Dakota(3/19/2024)
RR
Ohio(7/9/2019)
RR
Oklahoma(3/19/2024)
RR
Oregon(3/19/2024)
RR
Pennsylvania(7/9/2019)
RR
Puerto Rico(3/19/2024)
RR
Rhode Island(3/19/2024)
RR
South Carolina(3/19/2024)
RR
South Dakota(3/19/2024)
RR
Tennessee(3/19/2024)
RR
Texas(7/9/2019)
RR
Utah(3/19/2024)
RR
Vermont(3/19/2024)
RR
Virgin Islands(3/19/2024)
RR
Virginia(7/9/2019)
RR
Washington(7/9/2019)
RR
West Virginia(3/19/2024)
RR
Wisconsin(7/9/2019)
RR
Wyoming(3/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 6/27/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 8/28/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 6/20/2019
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BD
BANCO DO BRASIL SECURITIES LLC
BANCO DO BRASIL SECURITIES LLC
CRD#: 132701 / SEC#: , 8-66625
Florida
Registered Investment Advisory firm - SEC (9/6/2022 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
2 South Biscayne Blvd. Suite #3150, Miami, FL 33131
Mailing Address
2 South Biscayne Blvd. Suite #3150, Miami, FL 33131
Phone number
(407) 608-1780
Established
New York since 07/12/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
10
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO DO BRASIL S.A. | SOLE MEMBER | |
| ABREU, JULIANO MARCATTO DE | MEMBER OF THE BOARD OF DIRECTORS | 7971425 |
| FRANCA, MELISSA BUENO | CHIEF COMPLIANCE OFFICER & AMLCO | 5185735 |
| FRUET JUNIOR, JOAO FRANCISCO | MEMBER OF THE BOARD OF DIRECTORS | 6759546 |
| INCERROMEO, MARIA ESTIBALIZ | CHIEF INVESTMENT OFFICER | 5885341 |
| MOREIRA, JEFERSON MUNHOZ | CHIEF BUSINESS OFFICER / BOM | 5083219 |
| PORTNOFF, DAVID ROSS | FINOP/CFO | 2977967 |
| RIOS NOGALES GARCES, FABIO LUIS | PRINCIPAL OPERATIONS OFFICER | 5788772 |
| ROSSI, GUILHERME ALEXANDRE | MEMBER OF THE BOARD OF DIRECTORS | 7824752 |
| SILVA ROSOSTOLATO, DIOGO | CHIEF EXECUTIVE OFFICER | 7629292 |
Disclosures
| Civil Event | 1 |
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.
