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Mozart E. Barquete Dornelles

BRASIL PLURAL SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 7147584
MB

Professional summary

Mozart Ernesto Barquete Dornelles, who also goes by Mozart Ernesto Barquete Dornelles, is a registered financial professional currently at BRASIL PLURAL SECURITIES LLC located in New York, New York.

Mozart is registered as a RR (Registered Representative) and started their career in finance in 2023. Mozart has worked at 1 firm and has passed the Series 57TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mozart Ernesto Barquete Dornelles

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 Mozart Ernesto Barquete Dornelles'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

May 5, 2023 - Present

BRASIL PLURAL SECURITIES LLC

Office #1: 950 Third Avenue Suite 1702, New York, NY 10022
BD
CRD#: 159384
New York, NY

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

General Industry/Product Exam
RR
Series 57TO
Date: 5/5/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 8/26/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BRASIL PLURAL SECURITIES LLC
B PLURAL SECURITIES LLC | PLURAL SECURITIES LLC | PLURAL | PKBR SECURITIES LLC | BRASIL PLURAL SECURITIES LLC | BPS | BPLURAL | BP | B. PLURAL SECURITIES LLC | B. PLURAL SECURITIES

CRD#: 159384 / SEC#: , 8-68982

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

Main Address
950 Third Avenue Suite 1702, New York, NY 10022
Mailing Address
950 Third Avenue Suite 1702, New York, NY 10022
Phone number
(212) 388-5600
Established
Delaware since 09/09/2011
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (8 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#
BRASIL PLURAL HOLDINGS LLCSOLE OWNER
DE ALBUQUERQUE SOUSA, DANIEL PEDROSACHIEF EXECUTIVE OFFICER6069773
GEORGE, THOMAS KEITHFINOP5378303
WELCH, JOHN HOWARDCHIEF COMPLIANCE OFFICER/AMLCO2869306

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

BRASIL PLURAL SECURITIES LLC

CRD#: 159384New York, NY 10022

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