Carolina Parra Oviedo
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.
Carolina Parra Oviedo was a registered financial professional .
Carolina is a previously registered financial professional and started their career in finance in 2021. Carolina had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2025 - October 29, 2025
ITAU INTERNATIONAL SECURITIES INC.
July 23, 2025 - October 29, 2025
ITAU INTERNATIONAL SECURITIES INC.
November 18, 2024 - July 29, 2025
LPL ENTERPRISE, LLC
November 14, 2024 - July 29, 2025
LPL ENTERPRISE, LLC
August 19, 2024 - November 12, 2024
PRUCO SECURITIES, LLC.
August 16, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
September 27, 2021 - December 1, 2023
UBS FINANCIAL SERVICES INC.
September 24, 2021 - December 1, 2023
UBS FINANCIAL SERVICES INC.
September 3, 2021 - October 8, 2021
MORGAN STANLEY
January 6, 2021 - October 8, 2021
MORGAN STANLEY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/6/2021
General Securities Representative ExaminationCurrent Firm
ITAU INTERNATIONAL SECURITIES INC.
CRD#: 144769 / SEC#: 801-112301, 8-67674
Contact information
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ITAU BBA INTERNATIONAL PLC | DIRECT OWNER | |
| AAGESEN, MARCELO | DIRECTOR - EXECUTIVE REPRESENTATIVE - HEAD OF MARKETS | 6905674 |
| BALTOVSKI, ALEXANDER | PRINCIPAL OPERATIONS OFFICER | 2350828 |
| BEYRUTI, FERNANDO MATTAR | DIRECTOR AND CHAIRMAN | 6629310 |
| BRITO DE LIMA, MARCIO | HEAD INVESTOR | 6954691 |
| COHEN, ALAN MARCEL | HEAD TRADER | 6921752 |
| DE OLIVEIRA MARQUES, FERNANDO LUIZ | HEAD OF COMMERCIAL | 7861011 |
| GAITAN, SARA CATALINA | CHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 4733588 |
| GAMBA, THIAGO DA SILVA | CHIEF COMPLIANCE OFFICER - ITAU PRIVATE BANK MIAMI | 6622732 |
| GLYNN, MICHAEL GERARD | CHIEF FINANCIAL OFFICER, FINOP/PRINCIPAL FINANCIAL OFFICER | 3219445 |
| MOREIRA, PERCY AUGUSTO | DIRECTOR | 4882443 |
Regulatory assets under management
| Total Number of Accounts | 34 |
| AUM (Assets Under Management) | $ 56,559,226 |
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.
