Yvonne V. Ruddy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Yvonne V Ruddy, who also goes by Yvonne VIrginia Bahamonde, Yvonne Virginia Ruddy, was a registered financial professional .
Yvonne is a previously registered financial professional and started their career in finance in 2001. Yvonne had worked at 4 firms and has passed the Series 66, Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2023 - July 17, 2024
SAFRA SECURITIES LLC
November 15, 2021 - January 27, 2023
WELLS FARGO CLEARING SERVICES, LLC
November 3, 2021 - January 27, 2023
WELLS FARGO CLEARING SERVICES, LLC
January 18, 2011 - March 27, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 12, 2011 - March 27, 2020
WELLS FARGO CLEARING SERVICES, LLC
December 11, 2007 - February 23, 2009
HSBC SECURITIES (USA) INC.
November 17, 2005 - February 23, 2009
HSBC SECURITIES (USA) INC.
February 6, 2001 - November 2, 2005
CITICORP INVESTMENT SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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