Susan Moy Sokan
Professional summary
Susan Moy Sokan, who also goes by Siew L Moy, Siew Lee Moy, Susan Moy, Susan Moy Sooknanan, Susan Moy-sooknanan, Susan Lee Moysooknanan, Susan Sokan, is a registered financial professional currently at BBVA SECURITIES INC. located in New York, New York.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1990. Susan has worked at 10 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Moy Sokan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2024 - Present
BBVA SECURITIES INC.
Office #1: 375 9th Avenue 9th Floor, New York, NY 10001Office #2: 375 9th Avenue 9th Floor, New York, NY, 10001June 14, 2018 - February 3, 2022
UBS FINANCIAL SERVICES INC.
May 20, 2014 - June 4, 2018
DEUTSCHE BANK SECURITIES INC.
January 9, 2013 - January 22, 2014
HSBC SECURITIES (USA) INC.
February 23, 2012 - October 18, 2012
MUFG SECURITIES AMERICAS INC.
July 8, 2005 - January 4, 2012
BNP PARIBAS SECURITIES CORP.
April 5, 2001 - December 16, 2003
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 1, 1999 - May 24, 2000
RAFFERTY CAPITAL MARKETS, LLC
May 6, 1994 - June 28, 1999
TIJA MANAGEMENT, INC.
February 26, 1990 - April 12, 1994
SHEFFIELD INVESTMENTS, 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
Series 52TO
Date: 11/14/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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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