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BS

Baruc S. Saez

Some features on this profile are disabled
CRD#: 4605333
BS

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.

Baruc Santiago Saez was a registered financial professional .

Baruc is a previously registered financial professional and started their career in finance in 2002. Baruc had worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 5, 2010 - October 20, 2020

ITAU BBA USA SECURITIES, INC.

BD
CRD#: 118817
NEW YORK, NY
Past

June 25, 2003 - March 29, 2006

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

December 19, 2002 - February 14, 2003

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IB
ITAU BBA USA SECURITIES, INC.
ITAU BBA USA SECURITIES, INC. | ITAU USA SECURITIES INC. | ITAU SECURITIES INC.

CRD#: 118817 / SEC#: 801-128491, 8-53702

RIA
Registered Investment Advisory firm - SEC (9/11/2023 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/18/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/17/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/17/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/4/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/17/2024
General Securities Principal Examination

Current Firm

IB
ITAU BBA USA SECURITIES, INC.
ITAU BBA USA SECURITIES, INC. | ITAU USA SECURITIES INC. | ITAU SECURITIES INC.

CRD#: 118817 / SEC#: 801-128491, 8-53702

RIA
Registered Investment Advisory firm - SEC (9/11/2023 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
599 Lexington Avenue 34th Floor 34th Floor, New York, NY, 10022
Mailing Address
599 Lexington Avenue 34th Floor, New York, NY, 10022
Phone number
(212) 845-0600
Established
Delaware since 11/06/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Part 2 Brochures

ITAU BBA ADV PART 2A MARCH 2025 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
ITB HOLDING BRASIL PARTICIPAÇÕES LTDDIRECT OWNER
DUKES, MATTHEW GARDNEREXECUTIVE REPRESENTATIVE4830845
GLYNN, MICHAEL GERARDFINOP3219445
GOODALL, KENNETH RAYCHIEF COMPLIANCE OFFICER2682569
LINNET, LEONARD BRUNODIRECTOR4400967
PASCON BASTOS, FABIANA MRS.DIRECTOR7381972
WILBERG, FELIPE WEILDIRECTOR2568663

Disclosures

Regulatory Event3

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.

Company Information

ITAU BBA USA SECURITIES, INC.

CRD#: 118817

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