Luiza D. De Vasconcellos
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Luiza Dias Lopes De Vasconcellos, who also goes by Luiza Dias Lopes Vasconcellos, was a registered financial professional .
Luiza is a previously registered financial professional and started their career in finance in 2019. Luiza had worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2019 - August 8, 2022
ITAU BBA USA SECURITIES, INC.
Primary Firm SEC Registration
ITAU BBA USA SECURITIES, INC.
CRD#: 118817 / SEC#: 801-128491, 8-53702
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 9/30/2019
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 2/19/2019
General Securities Representative ExaminationCurrent Firm
ITAU BBA USA SECURITIES, INC.
CRD#: 118817 / SEC#: 801-128491, 8-53702
Contact information
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
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