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JL

Jose Carlos D. Lacava Filho

PERSHING LLC
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 7605615
JL

Professional summary

Jose Carlos Da Silva Lacava Filho, who also goes by Jose Filho, Jose Carlos Lacava Filho, Jose Lacava Filho, Jose Lacavafilho, Josecarlos Lacavafilho, is a registered financial professional currently at PERSHING LLC located in Lake Mary, Florida.

Jose Carlos is registered as a RR (Registered Representative) and started their career in finance in 2023. Jose Carlos has worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jose Filho | Jose Carlos Lacava Filho | Jose Lacava Filho | Jose Lacavafilho | Josecarlos Lacavafilho

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 Jose Carlos Da Silva Lacava Filho's 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 27, 2023 - Present

PERSHING LLC

Office #1: 600 Colonial Center Parkway, Lake Mary, FL 32746
BD
CRD#: 7560
Lake Mary, FL

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: 3/25/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/16/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PL
PERSHING LLC
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION

CRD#: 7560 / SEC#: , 8-17574

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

Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 01/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PERSHING GROUP LLCHOLDING COMPANY
BADGER, ERIC CHRISTOPHERBOARD MEMBER8040351
CROWLEY, JAMES THOMASCHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER1087182
DAVID, ERIC CIMARRONBOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER3132045
KEARNEY, JAMES FRANCIS IIIBOARD MEMBER6388373
LOFLING, JASON ROBERTBOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO)5177277
MAJIYAGBE, ELIZABETH OLAIDEBOARD MEMBER7013772
O'LAUGHLEN, VICTOR FRANCIS JRBOARD MEMBER8041737
SIMMONDS, AINSLIE JANEBOARD MEMBER6047968
VITALE, JASON DOMINICKBOARD MEMBER8038160
YOUNG, LYNN MARIECHIEF COMPLIANCE OFFICER1982726

Disclosures

Regulatory Event74
Arbitration32

Red Flags

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Company Information

PERSHING LLC

CRD#: 7560Lake Mary, FL 32746

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