MP
Mark A. Pinto
ITAU BBA USA SECURITIES
NEW YORK, NY 10022
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CRD#: 5547330
MP
Professional summary
Mark Anthony Pinto is a registered financial professional currently at ITAU BBA USA SECURITIES, INC. located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2008. Mark has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Anthony Pinto'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®
NoneExperience
Current
August 27, 2009 - Present
ITAU BBA USA SECURITIES, INC.
Office #1: 599 Lexington Avenue 34th Floor, New York, NY, 10022RIA
BD
CRD#: 118817
NEW YORK, NY
Past
October 23, 2008 - February 23, 2009
ITAU BBA USA SECURITIES, INC.
BD
CRD#: 118817
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(3/31/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 6/3/2019
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)
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 | 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.
