Gregg M. Karafin

ITAU BBA USA SECURITIES

NEW YORK, NY 10022

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CRD#: 5144948

Professional summary

Gregg M Karafin is a registered financial professional currently at ITAU BBA USA SECURITIES, INC. located in New York, New York.

Gregg is registered as a RR (Registered Representative) and started their career in finance in 2015. Gregg has worked at 3 firms and has passed the Series 63, SIE and Series 7 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

Click below to view Gregg M Karafin'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®

None

Experience

Current

May 13, 2024 - Present

ITAU BBA USA SECURITIES, INC.

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

RIA

CRD#: 118817

NEW YORK, NY

Past

October 1, 2020 - May 20, 2024

ICBC STANDARD SECURITIES INC.

CRD#: 35560

NEW YORK, NY

Past

October 8, 2015 - September 16, 2020

SBERBANK CIB USA, INC.

CRD#: 47972

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".

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.

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

New York
(5/13/2024)

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

State Security Law Exam

Series 63

Date: 3/24/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2015

General Securities Representative 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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Gregg M. Karafin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregg M Karafin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ICBC STANDARD SECURITIES INC.

SBERBANK CIB USA, INC.

Primary Firm SEC Registration

ITAU BBA USA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/2016

SIE

Date: 10/1/2018

Series 7

Date: 10/8/2015

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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