ITAU BBA USA SECURITIES, INC.
Adviser information for ITAU BBA USA SECURITIES, INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 24 |
| Registered Broker-Dealer Representatives | 27 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | RESEARCH SERVICES |
|---|---|
| Compensation | Fixed feesCommissions |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-128491 |
|---|---|
| SEC ERA File Number | 801-128491 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118817 |
| Legal Entity Identifier | None |
Principal Office
540 MADISON AVENUE23RD FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 6:00PM
Tel: 212-845-0600, Fax: None
Chief Compliance Officer
KENNETH GOODALL
540 MADISON AVENUE
24TH FLOOR
NEW YORK
NY
United States
Tel:
212-845-0600
K**********@******S
(Full email address available in API data)
Industry Affiliates
| BANCO ITAU INTERNATIONAL | Banking or thrift institution |
| BANCO ITA� (SUISSE) S.A. | Other investment adviser, including financial plannersBanking or thrift institution |
| ITAU ADMINISTRADORA GENERAL DE FONDOS S.A. | Other investment adviser, including financial planners |
| ITAU BBA EUROPE, S.A. | Other investment adviser, including financial plannersBanking or thrift institution |
| ITAU INTERNATIONAL SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| ITAU UNIBANCO ASSET MANAGEMENT LTDA | Other investment adviser, including financial planners |
| ITAU USA ASSET MANAGEMENT | Other investment adviser, including financial planners |
| ITA� UNIBANCO | Other investment adviser, including financial plannersBanking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ITA� UNIBANCO S.A. | Foreign Entity | ITB HOLDING BRASIL PARTICIPA��ES LTD | INDIRECT OWNER | 11/2001 | > 75% |
| ITAU UNIBANCO HOLDING S.A. | Foreign Entity | ITAU UNIBANCO S.A. | INDIRECT OWNER | 11/2001 | > 75% |
| MCCLANAN, JULIA CHEN | Individual | – | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, & TREASURER | 06/2010 | < 5% |
| GREENLEES, RODERICK SINCLAIR | Individual | – | DIRECTOR | 03/2015 | < 5% |
| WILBERG, FELIPE WEIL | Individual | – | DIRECTOR | 03/2016 | < 5% |
| ITB HOLDING BRASIL PARTICIPA��ES LTD | Foreign Entity | – | DIRECT OWNER | 11/2015 | > 75% |
| DACOSTA, MAURICE MICHAEL | Individual | – | FINOP | 01/2017 | < 5% |
| GOODALL, KENNETH RAY | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |
| PASCON BASTOS, FABIANA MRS. | Individual | – | DIRECTOR | 10/2020 | < 5% |