BANORTE SECURITIES INTERNATIONAL, LTD.
AFIN SECURITIES INTERNATIONAL, LTD., BANORTE-IXE SECURITIES INTERNATIONAL, LTD., BANORTE WEALTH MANAGEMENT, BANORTE SECURITIES INTERNATIONAL, LTD., BANORTE SECURITIES INTERNATIONAL, LTD…
CRD#: 30648/SEC#: 8-45056
B
Brokerage Firm Regulated by FINRA (Dallas district office)
MAIN ADDRESS
5075 WESTHEIMER
SUITE 975W
HOUSTON, TX 77056 UNITED STATES
Disclosures
4 Total Disclosures
4Regulatory Event
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Main Office Location 5075 WESTHEIMER
SUITE 975W
HOUSTON, TX 77056 UNITED STATES
Mailing Address 5075 WESTHEIMER
SUITE 975W
HOUSTON, TX 77056 UNITED STATES
Phone713-980-4600
Established inTexas since 02/21/1992
TypeCorporation
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
BANORTE SECURITIES HOLDINGS INTERNATIONAL, INC. SOLE SHAREHOLDER
BARRAZA, JUAN CARLOS (CRD#:2979487) CHIEF INVESTMENT OFFICER
FIROZGARY, FARROKH MEHRBAN (CRD#:3263239) CHIEF COMPLIANCE OFFICER
HERNANDEZ, MARIA GENOVEVA (CRD#:5697097) DIRECTOR OF GROWTH STRATEGY
RODRIGUEZ, JOSE RAMON (CRD#:4392639) CHIEF EXECUTIVE OFFICER
BANORTE SECURITIES HOLDINGS INTERNATIONAL, INC.
SOLE SHAREHOLDER

CHIEF INVESTMENT OFFICER


DIRECTOR OF GROWTH STRATEGY


Licenses
13 U.S. States and Territories
B
Arizona

B
California

B
Connecticut

B
Florida

B
Georgia

B
Indiana

B
Kentucky

B
Louisiana

B
New Mexico

B
New York

B
South Dakota

B
Texas

B
Utah

Other Registrations
Federal
SEC

Self-Regulatory Organizations
FINRA
This firm conducts 14 types of business

This firm is affiliated with financial and investment institutions

This firm does have referral or financial arrangements with other brokers or dealers
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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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.

IA
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.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

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.

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