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RW

Rute M. Wada

ITAU BBA USA SECURITIES
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 5166423
RW

Professional summary

Rute Megumi Wada, who also goes by Rute Megumi Wada Ms., is a registered financial professional currently at ITAU BBA USA SECURITIES, INC. located in New York, New York.

Rute is registered as a RR (Registered Representative) and started their career in finance in 2006. Rute has worked at 3 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rute Megumi Wada Ms.

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 Rute Megumi Wada'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 23, 2018 - Present

ITAU BBA USA SECURITIES, INC.

Office #1: 599 Lexington Avenue 34th Floor, New York, NY, 10022
RIA
BD
CRD#: 118817
NEW YORK, NY
Past

September 11, 2017 - October 27, 2017

BANCO DO BRASIL SECURITIES LLC

BD
CRD#: 132701
NEW YORK, NY
Past

November 28, 2006 - July 5, 2017

BANCO VOTORANTIM SECURITIES, INC.

BD
CRD#: 139788
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.

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
New York
(5/23/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/30/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/27/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/28/2018
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/5/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

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#: 118817New York, NY 10022

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