Sharline A. James
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.
Sharline A James, who also goes by Charlie James, Sharline Anise James, Sharline James, was a registered financial professional .
Sharline is a previously registered financial professional and started their career in finance in 1993. Sharline had worked at 8 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2018 - October 28, 2020
BBVA SECURITIES INC.
September 7, 2018 - November 29, 2018
USAA FINANCIAL ADVISORS, INC.
August 10, 2015 - September 5, 2017
NYLIFE SECURITIES LLC
August 6, 2013 - October 9, 2013
NATIONAL PLANNING CORPORATION
January 3, 2012 - February 12, 2013
DEUTSCHE BANK SECURITIES INC.
September 30, 2008 - January 3, 2012
DB SECURITIES SERVICES NJ INC.
May 23, 2000 - September 3, 2008
FIRST SOUTHWEST COMPANY, LLC
June 28, 1993 - April 4, 2000
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 52TO
Date: 12/22/2022
Municipal Securities Representative ExaminationCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
