Osvaldo E. Nogueira Diaz
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.
Osvaldo Eduardo Nogueira Diaz, who also goes by Eduardo Nogueira, was a registered financial professional .
Osvaldo is a previously registered financial professional and started their career in finance in 1995. Osvaldo had worked at 5 firms and has passed the Series 66, Series 7TO, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2020 - November 8, 2021
EFG CAPITAL INTERNATIONAL
December 8, 2011 - February 21, 2013
INSIGNEO WEALTH ADVISORS, LLC
October 25, 2011 - February 21, 2013
INSIGNEO SECURITIES, LLC
September 19, 2011 - September 26, 2011
BOLTON GLOBAL CAPITAL
May 15, 2007 - September 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 1995 - September 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 10/8/2022
General Securities Representative ExaminationSeries 8
Date: 2/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EFG CAPITAL INTERNATIONAL
CRD#: 40118 / SEC#: 801-120569, 8-48969
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EFG CAPITAL HOLDINGS CORP. | PARENT | |
| ARGUMEDO, GUILLERMO ARTURO | SENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL | 2542794 |
| BORGES, LEONARDO SILVA | PRINCIPAL OPERATIONS OFFICER | 5637377 |
| ECHEVARRIA, VICTOR MANUEL | CHAIRMAN OF THE BOARD | 1939548 |
| GONZALEZ, CARLOS JAVIER | CHIEF COMPLIANCE OFFICER | 4294205 |
| LEVERETT, KYLE LAWRENCE | PRINCIPAL FINANCIAL OFFICER | 6123446 |
| MESQUITA, SILVANA SOBRAL | AMLCO | 6983852 |
| MOHOROVIC, SANJIN | CEO | 6849141 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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