Paul A. Vergara

ITAU BBA USA SECURITIES

NEW YORK, NY 10022

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CRD#: 5043196

Professional summary

Paul A Vergara is a registered financial professional currently at ITAU BBA USA SECURITIES, INC. located in New York, New York.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2005. Paul has worked at 4 firms and has passed the Series 3, Series 62, Series 57TO, SIE, Series 55, Series 7, Series 30, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

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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

February 6, 2025 - Present

ITAU BBA USA SECURITIES, INC.

Office #1: 599 Lexington Avenue 34th Floor, New York, NY, 10022

RIA

CRD#: 118817

NEW YORK, NY

Past

July 11, 2008 - January 28, 2025

ITAU INTERNATIONAL SECURITIES INC.

CRD#: 144769

MIAMI, FL

Past

September 20, 2006 - August 15, 2007

BULLTICK INVESTMENTS, LLC

CRD#: 139981

MIAMI, FL

Past

December 16, 2005 - August 2, 2006

BNP PARIBAS INVESTMENT SERVICES, LLC

CRD#: 44598

MIAMI, FL

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".

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)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 3

Date: 3/12/2025

National Commodity Futures Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/22/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/13/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 2/18/2025

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 4

Date: 7/16/2013

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

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

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
PASCON BASTOS, FABIANA MRS.	DIRECTOR	7381972
WILBERG, FELIPE WEIL	DIRECTOR	2568663

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Paul A. Vergara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul A Vergara's CRS (Customer Relationship Summary).

Certified licenses

Experience

ITAU INTERNATIONAL SECURITIES INC.

BULLTICK INVESTMENTS, LLC

BNP PARIBAS INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ITAU BBA USA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 3

Date: 3/12/2025

Series 62

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 7/22/2008

Series 7

Date: 12/13/2005

Series 30

Date: 2/18/2025

Series 4

Date: 7/16/2013

Series 24

Date: 9/8/2006

FINRA

Current Firm

ITAU BBA USA SECURITIES, INC.

Contact information

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ITAU BBA USA SECURITIES, INC.

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