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Current Employers
Efg Private Wealth Management (Americas) Corp.

701 Brickell Avenue Suite 1310, Miami, FL 33131 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-01-07
  • FL RA
    APPROVED
    Since 2020-01-07

Branch Locations

701 Brickell Avenue Suite 1310, Miami, FL 33131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Leumi Usa New York NY 04/2014 11/2018
Mizuho Securities Usa Llc New York NY 11/2018 11/2019
Efg Capital International Corp Miami FL 12/2019 Present
  • 04/2014 → 11/2018
    Bank Leumi Usa
    New York, NY
  • 11/2018 → 11/2019
    Mizuho Securities Usa Llc
    New York, NY
  • 12/2019 → Present
    Efg Capital International Corp
    Miami, FL
Previous Registrations
Other Businesses

CANTABRI ADVISORS LLC; NOT INVT RELATED; P.O. BOX 306, NY, NY 10276; USED FOR FAMILY'S CONSULTING ACTIVITIES; MANAGING MEMBER; APRIL 2008; 8 HOURS PER MONTH, 0 HOURS DURING SEC TRADING HRS; SUPERVISE FAMILY'S CONSULTING ACTIVITIES IN NON-PROFIT SECTOR AND IN ADVISORY TO SMALL, PRIVATELY HELD COMPANIES; NON-INVT RELATED RESEARCH; NOT INVESTMENT RELATED; COMPENSATION BASED ON PRE-NEGOTIATED FIXED AMOUNTS FOR AGREED SERVICES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-03
S63 Uniform Securities Agent State Law Examination 2008-10-31
  • S66 Uniform Combined State Law Examination
    2015-12-03
  • S63 Uniform Securities Agent State Law Examination
    2008-10-31
Other Names
  • Humberto Romeo Garcia

View on SEC IAPD

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