David Lara

BBVA SECURITIES

New York, NY 10001

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CRD#: 1563291

Professional summary

David Lara is a registered financial professional currently at BBVA SECURITIES INC. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Lara's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 20, 2017 - Present

BBVA SECURITIES INC.

Office #1: 375 9th Avenue 9th Floor, New York, NY 10001Office #2: 375 9th Avenue 9th Floor, New York, NY, 10001

CRD#: 27060

New York, NY

Past

May 9, 2016 - May 31, 2017

COWEN AND COMPANY

CRD#: 7616

Stamford, CT

Past

May 15, 2015 - May 11, 2016

CRT CAPITAL GROUP LLC

CRD#: 28830

STAMFORD, CT

Past

June 7, 1999 - February 3, 2015

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

December 8, 1992 - June 7, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

May 23, 1989 - August 11, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 25, 1987 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(4/13/2018)

Connecticut
(6/22/2017)

Massachusetts
(6/21/2017)

New Jersey
(6/23/2017)

New York
(6/20/2017)

Exams

State Security Law Exam

Series 63

Date: 9/25/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/27/1987

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 4/13/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BBVA SECURITIES INC.

CRD#: 27060 / SEC#: , 8-42857

Broker-Dealer Firm Regulated by FINRA (New York district office)

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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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

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David Lara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Lara's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

CRT CAPITAL GROUP LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

CITIGROUP GLOBAL MARKETS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/1987

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1987

Series 3

Date: 10/27/1987

Series 24

Date: 4/13/1995

FINRA

Current Firm

BBVA SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BBVA SECURITIES INC.

TRUST BUT VERIFY

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