Luis A. Vazquez-ugalde
Professional summary
Luis A Vazquez-ugalde, who also goes by Luis Alejandro Vazquez-ugalde, Luis Vazquez-ugalde, is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.
Luis is registered as a RR (Registered Representative) and started their career in finance in 2020. Luis has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Luis A Vazquez-ugalde's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2025 - Present
ROTHSCHILD & CO US INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020December 13, 2021 - December 6, 2022
J.P. MORGAN SECURITIES LLC
August 10, 2020 - October 18, 2021
GUGGENHEIM SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 12/9/2025
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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