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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Ana Regina Mota

Advisor at BANCO DO BRASIL SECURITIES LLC

Miami, FL | MIAMI, FL

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Search this name across graphsid dfx:ria:879582e0-64fa-5e0b-6911-5b2c1d96f660

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 28, 2011 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BANCO DO BRASIL SECURITIES LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 13, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 13, 2011
First registration: Jun 28, 2011
Dual registered: yes, broker-dealer
Other names: ANA REGINA MOTA|Ana Mota|ANA R MOTA
IAPD individual key: 5890907

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BANCO DO BRASIL SECURITIES LLC	State registered	May 23, 2024	n/a	yes	MIAMI, FL\|MIAMI, FL\|Miami, FL\|MIAMI, FL\|Miami, FL	Current employment
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Sep 27, 2019	Jul 13, 2023	no	MIAMI, FL\|Buffalo, NY\|MIAMI, FL\|Miami, FL\|Buffalo, NY\|Miami, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 4, 2014	Aug 27, 2019	no	Miami, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 30, 2012	May 20, 2014	no	MIAMI, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 3, 2011	Jul 9, 2012	no	Miami, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 28, 2011	Sep 27, 2011	no	MIAMI, FL\|MIAMI, FL\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HSBC SECURITIES (USA) INC.	BANCO DO BRASIL SECURITIES LLC	Jul 13, 2023	May 23, 2024	315	Firm change	Ibd to state RIA
MORGAN STANLEY	HSBC SECURITIES (USA) INC.	Aug 27, 2019	Sep 27, 2019	31	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	MORGAN STANLEY	May 20, 2014	Jun 4, 2014	15	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO ADVISORS	Jul 9, 2012	Jul 30, 2012	21	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Sep 27, 2011	Oct 3, 2011	6	Firm change	Other

Relationships

Registered with (6)

→ BANCO DO BRASIL SECURITIES LLCRegistered adviserregistration: current employment
May 23, 2024 to presentfactForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Sep 27, 2019 to Jul 13, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 4, 2014 to Aug 27, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 30, 2012 to May 20, 2014factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 3, 2011 to Jul 9, 2012factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 28, 2011 to Sep 27, 2011factForm ADV

Dated events

Occurred
Jul 13, 2023
Advisor changed firm
Ana Regina Mota left Hsbc Securities (Usa) Inc. for Banco Do Brasil Securities Llc (registered 2024-05-23)
Form ADVobserved 6 days ago