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MD

Maria Luiza Del Roio

XP INVESTMENTS US
Miami, FL 33131
Some features on this profile are disabled
CRD#: 7224760
MD

Professional summary

Maria Luiza Del Roio, who also goes by Maria Luiza Del Roio, Maria Luiza Del Roio, is a registered financial professional currently at XP INVESTMENTS US, LLC located in Miami, Florida.

Maria Luiza is registered as a RR (Registered Representative) and started their career in finance in 2020. Maria Luiza has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maria Luiza Del Roio | Maria Luiza Del Roio

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 Maria Luiza Del Roio'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

October 6, 2021 - Present

XP INVESTMENTS US, LLC

Office #1: 701 Brickell Avenue 21st Floor, Miami, FL 33131
BD
CRD#: 156691
Miami, FL
Past

August 27, 2020 - September 18, 2021

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
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
California
(11/26/2021)
RR
Colorado
(11/26/2021)
RR
Connecticut
(11/26/2021)
RR
Delaware
(8/1/2022)
RR
Florida
(10/6/2021)
RR
Georgia
(8/29/2023)
RR
Illinois
(11/26/2021)
RR
Indiana
(1/21/2025)
RR
Massachusetts
(11/26/2021)
RR
Michigan
(11/26/2021)
RR
New Hampshire
(4/20/2022)
RR
New Jersey
(4/26/2022)
RR
New York
(11/26/2021)
RR
Pennsylvania
(4/20/2022)
RR
South Carolina
(11/26/2021)
RR
Texas
(11/26/2021)
RR
Virginia
(2/15/2024)
RR
Washington
(1/21/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/27/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/25/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

XI
XP INVESTMENTS US, LLC
XP INTERNATIONAL | XP SECURITIES, LLC | XP PRIVATE INTERNATIONAL | XP PRIVATE | XP INVESTMENTS US, LLC | XP INVESTMENTS

CRD#: 156691 / SEC#: , 8-68817

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

Main Address
55 West 46th Street 30th Floor, New York, NY 10036
Mailing Address
701 Brickell Avenue #2120, Miami, FL 33131
Phone number
(786) 732-1100
Established
Delaware since 12/29/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 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#
XP HOLDING INTERNATIONAL, LLCPARENT COMPANY
COSTA, JOSE EDUARDOCHIEF EXECUTIVE OFFICER4983100
GOMEZ, ADELIA MARIELCHIEF OPERATING OFFICER/ PRINCIPAL OPERATIONS OFFICER5477182
SINGER, STEVEN FREDERICPRINCIPAL FINANCIAL OFFICER2360737
WILSON, JARED RYANCHIEF COMPLIANCE OFFICER/ AML COMPLIANCE OFFICER5322068

Disclosures

Regulatory Event3

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

XP INVESTMENTS US, LLC

CRD#: 156691Miami, FL 33131

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