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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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SG

Sara C. Gaitan

ITAU INTERNATIONAL SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4733588
SG

Professional summary

Sara Catalina Gaitan, who also goes by Sara Catalina Vega, is a registered financial professional currently at ITAU INTERNATIONAL SECURITIES INC. located in Miami, Florida.

Sara is registered as a RR (Registered Representative) and started their career in finance in 2004. Sara has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 14, Series 4, Series 9, Series 10 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sara Catalina Vega

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) - BD

Click below to view Sara Catalina Gaitan's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 31, 2010 - Present

ITAU INTERNATIONAL SECURITIES INC.

Office #1: 200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131Office #2: 200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131
RIA
BD
CRD#: 144769
Miami, FL
Past

May 29, 2007 - March 12, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MIAMI, FL
Past

May 29, 2007 - March 12, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MIAMI, FL
Past

March 6, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
MIAMI, FL
Past

January 15, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
MIAMI, FL

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
California
(9/17/2024)
RR
Connecticut
(9/17/2024)
RR
Florida
(3/31/2010)
RR
New York
(9/17/2024)
RR
Texas
(9/17/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/10/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/14/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/7/2014
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/3/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/7/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/13/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

II
ITAU INTERNATIONAL SECURITIES INC.
ITAU EUROPA SECURITIES INC. | ITAU SECURITIES | ITAU INTERNATIONAL SECURITIES INC.

CRD#: 144769 / SEC#: 801-112301, 8-67674

RIA
Registered Investment Advisory firm - SEC (7/22/2022 Terminated)
Florida
Registered Investment Advisory firm - SEC (7/19/2022 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131
Mailing Address
200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131
Phone number
(305) 416-7813
Established
Delaware since 03/08/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
35

FINRA licenses (5 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ITAU BBA INTERNATIONAL PLCDIRECT OWNER
AAGESEN, MARCELODIRECTOR - EXECUTIVE REPRESENTATIVE - HEAD OF MARKETS6905674
BALTOVSKI, ALEXANDERPRINCIPAL OPERATIONS OFFICER2350828
BEYRUTI, FERNANDO MATTARDIRECTOR AND CHAIRMAN6629310
BRITO DE LIMA, MARCIOHEAD INVESTOR6954691
COHEN, ALAN MARCELHEAD TRADER6921752
DE OLIVEIRA MARQUES, FERNANDO LUIZHEAD OF COMMERCIAL7861011
GAITAN, SARA CATALINACHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER4733588
GAMBA, THIAGO DA SILVACHIEF COMPLIANCE OFFICER - ITAU PRIVATE BANK MIAMI6622732
GLYNN, MICHAEL GERARDCHIEF FINANCIAL OFFICER, FINOP/PRINCIPAL FINANCIAL OFFICER3219445
MOREIRA, PERCY AUGUSTODIRECTOR4882443

Regulatory assets under management

Total Number of Accounts34
AUM (Assets Under Management)$ 56,559,226

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 INTERNATIONAL SECURITIES INC.

CRD#: 144769Miami, FL 33131

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