Charles L. Vonbreitenbach
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.
Charles Ludwig Vonbreitenbach II, who also goes by Chuck Von Breitenbach, Charles Ludwig Vonbreitenbach, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2011 - May 24, 2016
ITAU BBA USA SECURITIES, INC.
July 17, 2008 - May 4, 2011
FORESIDE FUND SERVICES, LLC
March 2, 2006 - August 10, 2006
FUNDS DISTRIBUTOR, LLC
December 15, 2003 - August 10, 2006
VICTORY CAPITAL SERVICES, INC.
May 12, 2003 - December 31, 2003
KEYBANC CAPITAL MARKETS INC.
January 8, 1999 - December 19, 2001
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 20, 1996 - September 23, 1997
CITICORP SECURITIES, INC.
Primary Firm SEC Registration
ITAU BBA USA SECURITIES, INC.
CRD#: 118817 / SEC#: 801-128491, 8-53702
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
ITAU BBA USA SECURITIES, INC.
CRD#: 118817 / SEC#: 801-128491, 8-53702
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ITB HOLDING BRASIL PARTICIPAÇÕES LTD | DIRECT OWNER | |
| DUKES, MATTHEW GARDNER | EXECUTIVE REPRESENTATIVE | 4830845 |
| GLYNN, MICHAEL GERARD | FINOP | 3219445 |
| GOODALL, KENNETH RAY | CHIEF COMPLIANCE OFFICER | 2682569 |
| LINNET, LEONARD BRUNO | DIRECTOR | 4400967 |
| PASCON BASTOS, FABIANA MRS. | DIRECTOR | 7381972 |
| WILBERG, FELIPE WEIL | DIRECTOR | 2568663 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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