James H. Cleere
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.
James Hamilton Cleere was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 16 firms and has passed the Series 63, Series 99TO, SIE 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
November 7, 2024 - September 30, 2025
BBVA SECURITIES INC.
December 13, 2021 - January 3, 2023
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
May 22, 2017 - June 12, 2019
NOMURA SECURITIES INTERNATIONAL, INC.
July 15, 2013 - November 18, 2015
GUGGENHEIM SECURITIES, LLC
August 11, 2005 - December 6, 2011
MF GLOBAL INC.
September 9, 2004 - July 20, 2005
BARCLAYS CAPITAL INC.
August 6, 2002 - September 7, 2004
COWEN EXECUTION SERVICES LLC
December 11, 1997 - February 6, 2002
ABN AMRO INCORPORATED
September 2, 1997 - January 30, 1998
SBC WARBURG DILLON READ INC.
November 14, 1996 - September 2, 1997
SBC WARBURG, INC.
March 12, 1996 - June 5, 1996
DRESDNER SECURITIES (USA) INC.
November 30, 1993 - February 26, 1996
BANC OF AMERICA SECURITIES LLC
July 2, 1990 - November 12, 1993
GRUNTAL & CO., L.L.C.
April 20, 1990 - July 2, 1990
REGIONAL CLEARING CORP.
October 12, 1988 - March 10, 1989
INVESTORS CENTER, INC.
May 25, 1988 - July 15, 1988
VANDERBILT 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
Series 99TO
Date: 11/7/2024
Operations Professional 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
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