Helen H. Christopher
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.
Helen Hauser Christopher, who also goes by Helen Christopher, Helen Catherine Hauser, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1989. Helen had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 52, Series 14 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
May 16, 2013 - January 5, 2022
BBVA SECURITIES INC.
May 10, 2007 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
November 10, 2005 - June 12, 2006
TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION
January 3, 2002 - November 1, 2004
PINEBRIDGE SECURITIES LLC
October 21, 1996 - October 21, 1997
AGF INVESTMENT CORP.
September 18, 1996 - January 2, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
April 2, 1990 - November 30, 1994
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 13, 1989 - April 2, 1990
NCNB TEXAS SECURITIES, 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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