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TH

Thiago Habib Toledo De Carvalho

SAFRA SECURITIES LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 7470957
TH

Professional summary

Thiago Habib Toledo De Carvalho, who also goes by Thiago Habibtoledodecarvalho, is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.

Thiago is registered as a RR (Registered Representative) and started their career in finance in 2022. Thiago has worked at 2 firms and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thiago Habibtoledodecarvalho

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 Thiago Habib Toledo De Carvalho'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

March 5, 2024 - Present

SAFRA SECURITIES LLC

Office #1: 546 Fifth Ave, New York, NY 10036
BD
CRD#: 47873
New York, NY
Past

August 23, 2022 - February 28, 2024

BTG PACTUAL US CAPITAL, LLC

BD
CRD#: 149486
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 99TO
Date: 8/23/2022
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 3/7/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SAFRA SECURITIES LLC
SAFRA SECURITIES CORPORATION | SAFRA SECURITIES LLC

CRD#: 47873 / SEC#: , 8-51935

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

Main Address
546 Fifth Ave, New York, NY 10036
Mailing Address
546 Fifth Ave, New York, NY 10036
Phone number
(212) 704-5500
Established
Delaware since 12/31/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (45 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#
SAFRA NATIONAL BANK OF NEW YORKSOLE SHAREHOLDER
BONFIM, CARLOS CESAR BERTACODIRECTOR
COLOMBO, RAFAELODIRECTOR6054935
DIBIASI, ANTHONYFINOP6435706
GRUNWALD, MARK STEVENDIRECTOR & PRESIDENT3262204
JAVIER, SIGMUND PETERDIRECTOR6002619
MCCARTHY, GERARD THOMASCHIEF COMPLIANCE OFFICER3121615
MORATO, SIMONI PASSOSDIRECTOR5568481
OSWALD, THOMAS FRANCISCHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER1828798
YOU, SANG MIN JIMMYCHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER6693855

Disclosures

Regulatory Event2
Arbitration1

Red Flags

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Company Information

SAFRA SECURITIES LLC

CRD#: 47873New York, NY 10036

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