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 advisor with Citigroup Global Markets Inc. Joao has over 19 years of experience in the financial services industry. Joao holds FINRA Series 6, 7, 63 and 65 licenses and the SIE exam certification. Prior to joining Citigroup, Joao worked at LPL Financial LLC, HSBC Securities (USA) Inc., Wells Fargo Advisors, LLC, UBS Financial Services Inc., UBS International Inc., J.P. Morgan Securities Inc., Chase Investment Services Corp., MetLife Securities Inc. and Metropolitan Life Insurance Company. Joao's current registration is with the state of Florida. Joao is also registered in 9 other states including California, Colorado, Delaware, New York, North Carolina, Tennessee, Texas, Virginia. Joao has worked in Miami Beach, Florida and is currently located at the Citigroup branch office in Miami Beach.
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 03/11/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2004
Series 7 - General Securities Representative Examination
BC
Issued 02/26/2003
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.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
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
M
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
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
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Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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