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Joao victor Furtado gomes de araujo

UBS Securities LLC

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About Joao victor Furtado gomes de araujo

Joao victor Furtado gomes de araujo is a financial professional with a diverse range of experience in the securities industry. Joao victor recently joined UBS Securities LLC, a leading investment bank and financial services company, after spending time at Credit Suisse Securities (USA) LLC. Joao victor holds licenses in various securities examinations, including Series 63, Series 57TO, Series 7TO, and SIE. Joao victor's commitment to providing exceptional client service is reflected in the numerous state registrations Joao victor holds, ensuring that Joao victor can provide professional financial guidance to clients across the country.

Firm Information

Joao victor Furtado gomes de araujo is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Joao victor Furtado gomes de araujo’s Registration & Firm History

NY

11/08/2023 - Present

UBS Securities LLC (NEW YORK NY)

NY

09/11/2023 - 12/05/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/19/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/13/2023

Series 57TO - Securities Trader Exam

BC

Issued 09/11/2023

Series 7TO - General Securities Representative Examination

BC

Issued 08/25/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

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.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

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

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joao victor Furtado gomes de araujo.
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