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RL

Rebecca Lo

NATIXIS SECURITIES AMERICAS LLC
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 6401032
RL

Professional summary

Rebecca Lo is a registered financial professional currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York.

Rebecca is registered as a RR (Registered Representative) and started their career in finance in 2019. Rebecca has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rebecca Lo'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

April 26, 2022 - Present

NATIXIS SECURITIES AMERICAS LLC

Office #1: 1251 Avenue Of The Americas, New York, NY 10020
BD
CRD#: 1101
NEW YORK, NY
Past

February 26, 2021 - February 25, 2022

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

July 20, 2019 - March 17, 2021

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY

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
(4/26/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/3/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/20/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/29/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NATIXIS SECURITIES AMERICAS LLC
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.

CRD#: 1101 / SEC#: 801-72849, 8-719

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020
Phone number
(212) 872-5000
Established
Delaware since 11/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

NATIXIS SECURITIES AMERICAS' ADVISORY BROCHURE (6/24/2014)

Direct owners and executive officers

NamePositionCRD#
NATIXIS NORTH AMERICA LLCPARENT COMPANY/MANAGING MEMBER
BRIGGS, DANIEL CRAIGPRINCIPAL OPERATIONS OFFICER1250311
BUSSY, STEPHANE NMNDIRECTOR ON BOARD OF DIRECTORS7336982
CANEL, THIERRY JACQUESDIRECTOR ON BOARD OF DIRECTORS7818166
CHAUDHURI, SUPRIO NMNCHIEF COMPLIANCE OFFICER4659711
DELAY, OLIVIER JACQUESCHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS4720716
ISSANCHOU, EMMANUELHEAD OF GLOBAL MARKETS AMERICAS7338402
LAMBRIANIDIS, OTTO NICKPRINCIPAL FINANCIAL OFFICER2213741
MORAVEC, MICHAEL CHRISTOPHERHEAD OF INVESTMENT BANKING AMERICAS2968921
SHARPE, THOMAS GEORGECHIEF LEGAL OFFICER7047152

Disclosures

Regulatory Event17

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

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101New York, NY 10020

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