RV
Robert A. Vespa
SAFRA SECURITIES
New York, NY 10036
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CRD#: 4128687
RV
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
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert Anthony Edward Vespa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 8, 2024 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036BD
CRD#: 47873
New York, NY
Past
May 7, 2021 - November 7, 2023
ITAU BBA USA SECURITIES, INC.
BD
CRD#: 118817
NEW YORK, NY
Past
February 19, 2021 - April 13, 2021
STONEX FINANCIAL INC.
BD
CRD#: 45993
NEW YORK, NY
Past
January 5, 2015 - January 12, 2021
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 15, 2008 - October 3, 2014
BRADESCO SECURITIES, INC.
BD
CRD#: 104347
NEW YORK, NY
Past
March 7, 2000 - June 20, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/12/2026)
RR
Arkansas(3/12/2026)
RR
California(3/12/2026)
RR
Colorado(3/12/2026)
RR
Connecticut(3/12/2026)
RR
Delaware(3/12/2026)
RR
District of Columbia(3/12/2026)
RR
Florida(1/8/2024)
RR
Georgia(3/12/2026)
RR
Illinois(3/12/2026)
RR
Iowa(3/12/2026)
RR
Kansas(3/12/2026)
RR
Kentucky(3/12/2026)
RR
Maryland(3/12/2026)
RR
Massachusetts(3/12/2026)
RR
New Jersey(3/12/2026)
RR
New York(1/8/2024)
RR
North Carolina(3/12/2026)
RR
Ohio(3/12/2026)
RR
Oklahoma(3/12/2026)
RR
Pennsylvania(3/12/2026)
RR
Texas(3/12/2026)
RR
Utah(3/12/2026)
RR
Vermont(3/12/2026)
RR
Virginia(3/12/2026)
RR
Washington(3/12/2026)
RR
Wyoming(3/12/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 4/6/2004
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
RR
Series 55
Date: 10/4/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
Current Firm
SS
SAFRA SECURITIES LLC
SAFRA SECURITIES CORPORATION | SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
546 Fifth Ave, New York, NY 10036
Mailing Address
546 Fifth Ave, New York, NY 10036
Phone number
(212) 704-5500
Established
Delaware since 12/31/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
