Douglas Armando Barrera Ventura

$3.84B regulatory AUM

Reported services (Item 5G)

Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers
PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL

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

66 Husdson Boulevard East, New York, NY 10001 • United States

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2025-11-17
ND	RA	APPROVED	2025-10-31
VI	RA	APPROVED	2025-10-30
AK	RA	APPROVED	2025-10-28
PR	RA	APPROVED	2025-10-27
GA	RA	APPROVED	2025-10-23
MN	RA	APPROVED	2025-10-23
TX	RA	APPROVED_RES	2025-10-23
AL	RA	APPROVED	2025-10-22
DE	RA	APPROVED	2025-10-22
IA	RA	APPROVED	2025-10-22
KS	RA	APPROVED	2025-10-22
LA	RA	APPROVED	2025-10-22
ME	RA	APPROVED	2025-10-22
MD	RA	APPROVED	2025-10-22
MT	RA	APPROVED	2025-10-22
NE	RA	APPROVED	2025-10-22
NM	RA	APPROVED	2025-10-22
NC	RA	APPROVED	2025-10-22
UT	RA	APPROVED	2025-10-22
AZ	RA	APPROVED	2025-02-18
FL	RA	APPROVED	2025-02-03
CT	RA	APPROVED	2025-01-29
IL	RA	APPROVED	2025-01-29
NV	RA	APPROVED	2025-01-29
NJ	RA	APPROVED	2025-01-29
NY	RA	APPROVED	2025-01-29
OR	RA	APPROVED	2025-01-29
WA	RA	APPROVED	2025-01-29
CA	RA	APPROVED	2023-05-24

Branch Locations

1107 S. Baldwin Avenue Suite C, Arcadia, CA 91007 • United States

239 Van Rensselaer Street Floor 2, Buffalo, NY 14210 • United States

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

Organization	City	State	From	To
Jp Morgan Securities Llc	Los Angeles	CA	03/2013	11/2018
Jp Morgan Chase Bank	Los Angeles	CA	03/2013	11/2018
Hsbc Securities (Usa), Inc.	New York	NY	12/2018	Present
Hsbc Bank Usa, N.A.	New York	NY	12/2018	Present

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-05-23
S63	Uniform Securities Agent State Law Examination	2013-04-15