Joao Carlos Bastos

Employer firm

Citigroup Global Markets Inc. CRD 7059

$56.0B regulatory AUM 2,481 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2014 → 04/2019
  Lpl Financial Llc
  Virginia Gardens, FL
• 08/2014 → 04/2019
  Space Coast Credit Union
  Virginia Gardens, FL
• 04/2019 → Present
  Citigroup
  Miami, FL

Previous Registrations

• 2014-08-05 → 2019-04-18
  Lpl Financial Llc
  Virginia Gardens, FL
  Hialeah, FL
  Hialeah Gardens, FL
  Sunrise, FL
  Doral, FL
  North Miami Beach, FL
  Miami, FL
  Miami Gardens, FL
  Miami, FL
  Coral Gables, FL
• 2013-02-26 → 2014-04-23
  Hsbc Securities (Usa) Inc.
  Miami, FL
• 2010-06-17 → 2012-12-04
  Wells Fargo Clearing Services, Llc
  Miami, FL
  Miami, FL
• 2010-01-01 → 2010-05-20
  Ubs Financial Services Inc.
  New York, NY
  Weehawken, NJ
• 2009-12-24 → 2010-01-01
  Ubs International Inc.
  New York, NY
  New York, NY

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-03-11
• S63 Uniform Securities Agent State Law Examination
  2003-04-15