Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joao? Claim Your ProfileJoao Carlos Bastos is a financial professional with over 19 years of experience in the financial services industry. Currently, Joao Carlos Bastos is registered with Citigroup Global Markets Inc., and has been with the firm since April 2019. Before joining Citigroup Global Markets Inc., Joao Carlos Bastos was registered with LPL Financial LLC from August 2014 to April 2019, HSBC Securities (USA) Inc. from February 2013 to April 2014, Wells Fargo Advisors, LLC from June 2010 to December 2012, UBS Financial Services Inc. from January 2010 to May 2010, UBS International Inc. from June 2005 to January 2010, J.P. Morgan Securities Inc. from November 2004 to June 2005, Chase Investment Services Corp. from October 2003 to December 2004, MetLife Securities Inc. from February 2003 to May 2003, and Metropolitan Life Insurance Company from February 2003 to May 2003. Joao Carlos Bastos holds licenses Series 6, Series 7, Series 63, and Series 65. Joao Carlos Bastos's areas of expertise include financial planning, portfolio management, security ratings, asset allocation advice, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
FL
04/30/2019 - Present
Citigroup Global Markets Inc. (Miami Beach FL)
FL
08/04/2014 - 04/18/2019
LPL FINANCIAL LLC (HIALEAH GARDENS FL)
FL
02/25/2013 - 04/23/2014
HSBC SECURITIES (USA) INC. (MIAMI FL)
FL
06/09/2010 - 12/04/2012
WELLS FARGO ADVISORS, LLC (MIAMI FL)
NY
01/01/2010 - 05/20/2010
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
06/28/2005 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
11/15/2004 - 06/29/2005
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IL
10/20/2003 - 12/03/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
MA
02/28/2003 - 05/28/2003
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
02/28/2003 - 05/28/2003
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 3/11/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/15/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2004
Series 7 - General Securities Representative Examination
BC
Issued 2/26/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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BOX Exchange LLC
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
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Cboe C2 Exchange, Inc.
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Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
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FINRA
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Investors' Exchange LLC
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Long-Term Stock Exchange, Inc.
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MEMX LLC
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MIAX Emerald, LLC
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MIAX PEARL, LLC
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Miami International Securities Exchange, LLC
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NYSE American LLC
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NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
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Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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