Ashley R. Lind

ITAU BBA USA SECURITIES

NEW YORK, NY 10022

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CRD#: 6343851

Professional summary

Ashley Rocio Lind, who also goes by Ashley Rocio Garces, Ashley Garces, is a registered financial professional currently at ITAU BBA USA SECURITIES, INC. located in New York, New York.

Ashley is registered as a RR (Registered Representative) and started their career in finance in 2016. Ashley has worked at 4 firms and has passed the Series 63, SIE, Series 99 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ashley Rocio Garces | Ashley Garces

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 Ashley Rocio Lind'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

December 17, 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

October 17, 2018 - December 26, 2025

HAITONG INTERNATIONAL SECURITIES (USA) INC.

CRD#: 132201

NEW YORK, NY

Past

April 2, 2018 - December 20, 2022

HAITONG SECURITIES USA LLC

CRD#: 281918

NEW YORK, NY

Past

March 14, 2016 - November 29, 2016

OPPENHEIMER & CO. INC.

CRD#: 249

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
(12/17/2025)

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: 5/23/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99

Date: 6/27/2018

Operations Professional Examination

General Industry/Product Exam

Series 7

Date: 3/14/2016

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
MCCLANAN, JULIA CHEN	DIRECTOR	4591590
WILBERG, FELIPE WEIL	DIRECTOR	2568663

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Ashley R. Lind

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashley Rocio Lind's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAITONG INTERNATIONAL SECURITIES (USA) INC.

HAITONG SECURITIES USA LLC

OPPENHEIMER & CO. INC.

Primary Firm SEC Registration

ITAU BBA USA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/2016

SIE

Date: 10/1/2018

Series 99

Date: 6/27/2018

Series 7

Date: 3/14/2016

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.

TRUST BUT VERIFY

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