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Broker-dealer firm · New York, NY

Itau BBA USA Securities, Inc.

SEC-registered investment adviser · CRD 118817 · SEC 801-128491

At a glance

Itau BBA USA Securities, Inc. is an SEC-registered investment adviser based in New York, New York, with $0 in regulatory assets under management as of its Form ADV filed March 30, 2026. By Form ADV it is a broker-dealer firm, ranked 385th of 391 broker-dealer firms and 17,065th of 17,210 SEC-registered advisers by assets.

Main office 212-845-0600As filed on Form ADV

Regulatory AUM
$0M
Rank among broker-dealer firms
#385 of 391
Rank among all SEC RIAs
#17,065 of 17,210
Rank in New York
#2,563 of 2,591
Clients
0
Accounts
0
Discretionary
0% of AUM
Employees
38
Advisory staff
26
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Itau BBA USA Securities, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Itau BBA USA Securities, Inc. is a hybrid RIA: 25 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Itau International Securities Inc..

Other hybrid RIAs

Disciplinary disclosures

Itau BBA USA Securities, Inc. answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗

Services

  • Other services

How it’s paid

  • Fixed fees
  • Commissions

Form ADV and brochures on the SEC’s adviser search ↗

AtlasMembers

The full record on Itau BBA USA Securities, Inc.

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, 2 years of filings
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Growth over one, three and five years
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Rank against 28 peers of its type and size
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Owners and executives, with titles and stakes
6 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
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Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Itau BBA USA Securities, Inc. manage?

Itau BBA USA Securities, Inc. reports $0 in regulatory assets under management, on its Form ADV filed March 30, 2026.

What kind of firm is Itau BBA USA Securities, Inc.?

Itau BBA USA Securities, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons.

Does Itau BBA USA Securities, Inc. have any disciplinary history?

Itau BBA USA Securities, Inc. answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.

Where these numbers come from

Every figure is Itau BBA USA Securities, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →