PO
Paul T. Otoole
BBVA SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 1237869
PO
Professional summary
Paul Timothy Otoole is a registered financial professional currently at BBVA SECURITIES INC. located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1984. Paul has worked at 14 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Paul Timothy Otoole's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 13, 2015 - Present
BBVA SECURITIES INC.
Office #1: 375 9th Avenue 9th Floor, New York, NY 10001Office #2: 375 9th Avenue 9th Floor, New York, NY, 10001BD
CRD#: 27060
New York, NY
Past
June 1, 2015 - July 16, 2015
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
November 15, 2010 - April 1, 2015
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
April 4, 2006 - October 13, 2006
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
Past
April 4, 2006 - November 10, 2010
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
April 4, 2000 - May 18, 2005
BNY CAPITAL MARKETS INC.
BD
CRD#: 18303
NEW YORK, NY
Past
June 7, 1999 - April 7, 2000
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
May 21, 1997 - June 7, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
December 10, 1996 - May 27, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
July 3, 1995 - December 19, 1997
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
September 25, 1992 - May 25, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 31, 1989 - October 22, 1990
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
April 25, 1988 - February 6, 1989
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Past
April 11, 1988 - May 13, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
February 24, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/13/2015)
RR
Alaska(7/13/2015)
RR
Arizona(7/13/2015)
RR
Arkansas(7/13/2015)
RR
California(7/13/2015)
RR
Colorado(7/13/2015)
RR
Connecticut(7/13/2015)
RR
Delaware(7/13/2015)
RR
District of Columbia(7/13/2015)
RR
Florida(7/13/2015)
RR
Georgia(7/13/2015)
RR
Hawaii(7/13/2015)
RR
Idaho(7/13/2015)
RR
Illinois(7/13/2015)
RR
Indiana(7/13/2015)
RR
Iowa(7/13/2015)
RR
Kansas(7/13/2015)
RR
Kentucky(7/13/2015)
RR
Louisiana(7/13/2015)
RR
Maine(7/13/2015)
RR
Maryland(7/13/2015)
RR
Massachusetts(7/13/2015)
RR
Michigan(7/13/2015)
RR
Minnesota(7/13/2015)
RR
Mississippi(7/13/2015)
RR
Missouri(7/13/2015)
RR
Montana(7/13/2015)
RR
Nebraska(7/13/2015)
RR
Nevada(7/13/2015)
RR
New Hampshire(7/13/2015)
RR
New Jersey(7/13/2015)
RR
New Mexico(7/13/2015)
RR
New York(7/13/2015)
RR
North Carolina(7/13/2015)
RR
North Dakota(7/13/2015)
RR
Ohio(7/13/2015)
RR
Oklahoma(7/13/2015)
RR
Oregon(7/13/2015)
RR
Pennsylvania(7/13/2015)
RR
Rhode Island(7/13/2015)
RR
South Carolina(7/13/2015)
RR
South Dakota(7/13/2015)
RR
Texas(7/13/2015)
RR
Utah(7/13/2015)
RR
Vermont(7/13/2015)
RR
Virginia(7/13/2015)
RR
Washington(7/13/2015)
RR
West Virginia(7/13/2015)
RR
Wisconsin(7/13/2015)
RR
Wyoming(7/13/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BBVA SECURITIES INC.
BBV LATINVEST SECURITIES INC. | LATINVEST SECURITIES INC. | INVERMEXICO USA, INC. | BBVA SECURITIES INC. | BBVA INVESTMENTS, A DIVISION OF BBVA SECURITIES INC. | BBV SECURITIES INC.
CRD#: 27060 / SEC#: , 8-42857
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
375 9th Avenue 9th Floor, New York, NY, 10001
Mailing Address
375 9th Avenue 9th Floor, New York, NY, 10001
Phone number
(212) 728-1500
Established
Delaware since 03/13/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
