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Detailed Report
Paulo Mombach
PAULO VITOR C MOMBACH, PAULO VITOR COUTO MOMBACH, PAULO MOMBACH, Paulo Couto Mombach, Paulo Vitor C Mombach…
CRD#: 7242606
IA
Investment Adviser
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Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 Houston, TX
Registration History
20202021202220232024202520262 FIRMS2021 - 2023 (1 year)2 FIRMS2023 - Present (2 years)BEQUITABLE ADVISORS, LLC (CRD# 6627)2020 - 2021 (1 year)IAEQUITABLE ADVISORS, LLC (CRD# 6627)2021 - 2021 (<1 year)
License(s)

State Registrations

B
New York 2/23/2023
IA
Texas 1/4/2024
B
Texas 1/4/2024

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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J.P. MORGAN SECURITIES LLC (CRD#:79)
Houston, TX
600 Travis St Floor 09, Houston, TX 77002
Registered with this firm since 2/27/2023
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J.P. MORGAN SECURITIES LLC (CRD#:79)
Houston, TX
600 Travis St Floor 09, Houston, TX 77002
Registered with this firm since 2/23/2023
Previous Registration(s)
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 10/04/2021 - 02/10/2023 MORGAN STANLEY (CRD#:149777) Aventura, FL
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 10/01/2021 - 02/10/2023 MORGAN STANLEY (CRD#:149777) Aventura, FL
IA
 01/21/2021 - 09/17/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) FT. LAUDERDALE, FL
B
 05/02/2020 - 09/17/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) FT. LAUDERDALE, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.