SweetWater Securities, Inc., is a registered broker-dealer that seeks to provide independent investment advice in a manner that is exclusive, and tailor made for each client.
With a legacy in the Panamanian capital markets that goes back over forty years, we have a proven track record of being able to execute on our client’s mandate, by providing guidance, perspective and a value driven approach to each of our client’s needs.
Achieving our client’s objectives and satisfying their financial needs is a priority. This is done with the experience of a committed team, which is supported by open-ended investment platforms, that provide creative and innovative solutions that allow for specific mandates to be serviced.
SweetWater Securities’ main values are transparency, investment ethics and discipline, coupled with a service of excellence and responsible, thoughtful advice.
BUSINESS
SweetWater Securities’ objective consulting is based on a successful experience in both the Panamanian and international financial markets and the firm belief that an informed client is a well serviced client.
One of the company’s main goals is to establish a partner-based approach to managing our client’s wealth by generating long term relationships based on trust and transparency. We currently service more than 700 clients thru our different investment platforms which seek to complement our client’s needs as they transition through the various stages of their life, thus allowing for dynamic solutions for each scenario
Assets managed by SweetWater Securities Inc. surpass $400MM.
TEAM
SweetWater Securities’s team possesses the technical and personal skills necessary to help you achieve your goals. All directors and executives follow an ideal of excellence that reflects on their actions.
BUSINESS
BOARD OF DIRECTORS CONSULTANT
SWSec founder and Grupo Tapia President, a diversified holding company with interest in the financial, real-estate, telecom and mining sector in Panama. He founded Panama’s first independent investment bank, Wall Street Securities in 1987, for which he was both President and Managing Director which was later sold in 2004 to Banco Continental, now Banco General S.A. Previous to that, he managed the Treasury and Capital Markets units of Bank of America NT for a decade, supervising the bank’s Latin America operations and managing the banks currency exposure in the region.
BUSINESS
MANAGEMENT VICE PRESIDENT
He is a founding member of SWSec and currently serves as a Director and Vice President of Wealth Management. He has over 15 years of experience in the financial services industry via his current and past involvement in several top tier brokerage firms, including Oppenheimer & Co., Wachovia Securities, and Wells Fargo Advisors, where he was part of a multi-disciplined team with a mandate to service both high-net worth and institutional clients in Latin America.
BUSINESS
MANAGING PARTNER
He joined the team in 2018 as Managing Partner, bringing his experience in banking and investments with local and international firms. He served as Senior Vice president for Geneva Asset Management for ten years, and he previously held high executive positions in banking, treasury, investments and other financial services for institutions such as Banco Nacional de Panamá, Citi Bank, Société Générale, TRX Futures (London), UBC International Corporation, Panabank, among others. A current board member of various important public and private financial institutions, he has also been an instructor for Panama’s International Banking Institute, and is licensed by the country’s securities regulator as an Executive Principle and Financial Advisor.
BUSINESS
MAIN EXECUTIVE AND VICE PRESIDENT FOR BROKERAGE SERVICES
He is a founding member of SWSec and currently serves as a Director and Vice President of Brokerage Services, responsible for the daily management of the brokerage firm and The Bank of New York Mellon / Pershing LLC international investment platform. He has over 10 years’ experience in the capital markets, standing out as an account executive at Lafise Valores and as a financial advisor at Geneva Asset Management. He is a Certified Investment Management Analyst® (CIMA®) and holds an MBA in Project Management from Aden International Business School.
BUSINESS
VICE PRESIDENT OF OPERATIONS
She serves as SWS’ vice president of Operations, Management and Human Resources. She worked for Wall Street Securities as Director of Operations and Management for over 15 years, as well as for Bank of America N.T. & S.A., holding positions relating to foreign currency, accounting, operations and management.
BUSINESS
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BUSINESS
DIRECTOR OF OPERATIONS
SWS’ director of Operations since 2016, she’s been part of the team since 2012, when she entered the company as Compliance Manager. She served as Main Executive for Aliada Casa de Valores, as well as Compliance Officer and Customer Service Manager for Banco de Bogotá. Her career began at Citi Bank’s local branch, and she has two licenses from Panama’s Superintendencia del Mercado de Valores: for Broker and for Main Executive.
BUSINESS
COMMERCIAL DIRECTOR
He is SWS’ Commercial Director since 2016, in charge of the constant training of the company’s investment consultants. He served as investment consultant for Altantika Investments and was sales director for Mapfre Panamá for seven years. He has a wide experience as Sales Manager for financial companies such as Citi and Intellectual Consulting.
BUSINESS
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Team of Brokers and Customer Service
Team of Operations and Administration
TIMELINE
Business Platform
SweetWater Securities has developed and expanded on an independent business platform that allows the firm, and its’ advisors, to integrate personalized solutions for each client.
Our counterparts and service providers allow for access to both local and international capital markets, whereby tailor-made asset management solutions can be put forth.
These include:
Pershing LLC, A Bank of New York Mellon Company, Pershing has been a leading global provider of financial business solutions for 75 years and serves many of the world’s most respected financial organizations. As the industry’s largest provider of clearing and settlement solutions, Pershing provides SWS with capabilities it needs to properly serve its clients.
Latinclear (Central Latinoamericana de Valores) Is the Central Securities Depository (CSD) in Panama which performs custody, clearing and settlement services for local investments. It offers support for local investment accounts based in Panama, with the assurance every client expects from proper management, continuity, and protection of its financial assets via its Panamanian jurisdiction.
Old Mutual International (OMI), is a subsidiary of Old Mutual PLC, a UK based conglomerate that services more than 3mm clients worldwide. Old Mutual International provides SWS with access to a flexible systematic investment platform whereby institutional and retail clients can invest monthly installments in order to meet specific needs.
The company has also partnered with software providers such as NetX360, Bloomberg, Brokerware, Maestro, Advent and Worldcheck, which provide front, middle and back-office capabilities that offer the transparency needed to properly service client accounts.
As a further complement to its platform, SWS has signed distribution agreements with more than 20 mutual fund and alternative investment firms as well as DVP agreements with over 30 global financial institutions that provide timely executions services in fixed income securities via the OTC market.
SweetWater Securities has the following licenses and authorizations:
Brokerage-Dealer License given by the Superintendencia de Mercado de Valores de Panama, the country ’s regulating body.
- Introducing Broker Dealer Agreement with Pershing LLC, Bank of New York.
- Member of the Panamanian Stock Exchange (Bolsa de Valores de Panama)
- Custody, clearing and settlement agreement with Central Latinoamericana de Valores (Latinclear).
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