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FIRM PROFILE
Overview
SAFRA SECURITIES LLC is located at 546 Fifth Ave, New York, NY 10036 and was first established at New York, Delaware in 12/31/2009. After operating for 16 years, SAFRA SECURITIES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of SAFRA SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. SAFRA SECURITIES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SAFRA SECURITIES LLC are registered to handle securities or provide financial advice. The firm has 3 disclosures, 2 being regulatory events, 0 being client events, and 1 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access SAFRA SECURITIES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at SAFRA SECURITIES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for SAFRA SECURITIES LLC Comes From
Understanding the Statistics for SAFRA SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
546 Fifth Ave, New York, NY 10036
546 Fifth Ave, New York, NY 10036
Medium
(212) 704-5500
Delaware since 12/31/2009
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | ||
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | ||
| COLOMBO, RAFAELO | DIRECTOR | 6054935 | |
| DIBIASI, ANTHONY | FINOP | 6435706 | |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 | |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 | |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 | |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 | |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 | |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
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Advisor's working at SAFRA SECURITIES LLC
Kevin Patrick Bourke
Dov Lasry
Fernanda Bomfim Araujo
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