D. R. Laporta
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.
D. Robert Laporta, who also goes by D Robert Laporta, Robert Laporta, was a registered financial professional .
D. is a previously registered financial professional and started their career in finance in 1996. D. had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2013 - May 7, 2021
BBVA SECURITIES INC.
December 1, 2011 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 31, 2006 - May 19, 2011
TRUIST INVESTMENT SERVICES, INC.
April 25, 2005 - May 19, 2011
TRUIST INVESTMENT SERVICES, INC.
September 23, 2003 - March 15, 2005
HERBERT J. SIMS & CO, INC.
December 17, 2002 - September 4, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 12, 2002 - September 4, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 25, 2000 - December 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2000 - December 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 1996 - November 8, 2000
MORGAN STANLEY DW INC.
July 17, 1996 - August 1, 1996
SLAVIC INVESTMENT CORPORATION
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
Current Firm
BBVA SECURITIES INC.
CRD#: 27060 / SEC#: , 8-42857
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BBVA USD INVESTMENTS, S.A. | OWNER | |
| ALARCON GONZALEZ, LUIS FRANCISCO | DIRECTOR | 7560286 |
| CANGCUESTA, KRISTINE FAITH | US HEAD OF BSA/AML | 8096305 |
| GIL HERNANDEZ, REGINA | DIRECTOR | 5774494 |
| JENSEN, PETER EGELUND | DIRECTOR, CEO & MANAGING DIRECTOR, INSTITUTIONAL; CHAIRMAN OF THE BOARD | 2596069 |
| MOSCARA, STEPHEN MICHAEL | DIRECTOR, EXECUTIVE VICE PRESIDENT AND FINOP | 4564002 |
| MURPHY, COLIN A | OPERATIONS PRINCIPAL INSTITUTIONAL | 4274816 |
| NEEL, DAVID SULLIVAN JR | CO-CCO, SENIOR VICE PRESIDENT, DIRECTOR OF RETAIL COMPLIANCE | 1884109 |
| RAGHAVAN, PRIYA | DIRECTOR | 6485341 |
| SCHUBERT, PHILIP MICHAEL | DIRECTOR | 5285568 |
| SOHN, DONG B | CHIEF FINANCIAL OFFICER | 5115452 |
| SPINELLI, JOSEPH CHARLES | CO-CCO, VICE PRESIDENT, HEAD OF INSTITUTIONAL COMPLIANCE | 2436743 |
| SWAMMY, SARAH ALEXANDRA | DIRECTOR | 4010520 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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