John R. Roberts
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.
John Randal Roberts, who also goes by Randy Roberts, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 11 firms and has passed the Series 66, Series 63 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
January 14, 2014 - April 25, 2014
BBVA SECURITIES INC.
November 19, 2012 - October 9, 2013
CANTOR FITZGERALD & CO.
September 19, 2011 - November 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 29, 2011 - November 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 24, 2007 - July 5, 2007
STERNE, AGEE & LEACH, INC.
May 17, 2006 - October 25, 2006
STERNE, AGEE & LEACH, INC.
February 24, 2006 - May 18, 2006
BOK FINANCIAL SECURITIES, INC.
December 7, 2005 - February 6, 2006
UBS FINANCIAL SERVICES INC.
April 19, 2005 - November 4, 2005
BOK FINANCIAL SECURITIES, INC.
February 12, 2004 - December 3, 2004
CANTOR FITZGERALD & CO.
July 21, 2000 - December 8, 2000
AMHERST SECURITIES GROUP, L.P.
February 5, 1993 - September 18, 1998
AMHERST SECURITIES GROUP, L.P.
June 15, 1992 - January 28, 1993
WESTCAP GOVERNMENT SECURITIES, INC.
May 26, 1992 - January 28, 1993
WESTCAP SECURITIES, L.P.
February 28, 1991 - May 29, 1992
MARCUS, STOWELL & BEYE, INC.
February 28, 1991 - May 29, 1992
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
July 25, 1987 - March 20, 1989
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
August 21, 1986 - March 20, 1989
MARCUS, STOWELL & BEYE, INC.
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
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