Paul A. Vergara
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.
Paul A Vergara was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2005. Paul had worked at 4 firms and has passed the Series 63, Series 3, Series 62, Series 57TO, SIE, Series 55, Series 7, Series 30, Series 4 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
February 6, 2025 - March 18, 2026
ITAU BBA USA SECURITIES, INC.
July 11, 2008 - January 28, 2025
ITAU INTERNATIONAL SECURITIES INC.
September 20, 2006 - August 15, 2007
BULLTICK INVESTMENTS, LLC
December 16, 2005 - August 2, 2006
BNP PARIBAS INVESTMENT SERVICES, LLC
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
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/22/2008
Limited Representative-Equity Trader ExamCurrent 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 |
| MCCLANAN, JULIA CHEN | DIRECTOR | 4591590 |
| WILBERG, FELIPE WEIL | DIRECTOR | 2568663 |
Disclosures
| Regulatory Event | 3 |
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.
