Robert A. Vespa
Professional summary
Robert Anthony Edward Vespa is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 25, Series 55, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Anthony Edward Vespa's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2024 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036May 7, 2021 - November 7, 2023
ITAU BBA USA SECURITIES, INC.
February 19, 2021 - April 13, 2021
STONEX FINANCIAL INC.
January 5, 2015 - January 12, 2021
CITIGROUP GLOBAL MARKETS INC.
July 15, 2008 - October 3, 2014
BRADESCO SECURITIES, INC.
March 7, 2000 - June 20, 2008
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2024)
(1/8/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 25
Date: 4/6/2004
NYSE Trading Assistant ExaminationSeries 55
Date: 10/4/2000
Limited Representative-Equity Trader ExamFINRA
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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