DN
David S. Neel
BBVA SECURITIES
New York, NY 10001
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CRD#: 1884109
DN
Professional summary
David Sullivan Neel JR is a registered financial advisor 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 1988. David has worked at 2 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 3, Series 14, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view David Sullivan Neel JR's 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®
NoneExperience
Current
July 30, 2013 - Present
BBVA SECURITIES INC.
Office #1: 375 9th Avenue 9th Floor, New York, NY 10001BD
CRD#: 27060
New York, NY
Past
June 25, 2002 - September 27, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
RIA
CRD#: 17086
BIRMINGHAM, AL
Past
October 19, 1988 - July 30, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
BIRMINGHAM, AL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(8/21/2013)
RR
Alaska(8/22/2013)
RR
Arizona(8/28/2013)
RR
Arkansas(8/1/2013)
RR
California(7/31/2013)
RR
Colorado(11/1/2013)
RR
Connecticut(7/31/2013)
RR
Delaware(8/5/2013)
RR
District of Columbia(8/16/2013)
RR
Florida(8/6/2013)
RR
Georgia(7/30/2013)
RR
Idaho(7/30/2013)
RR
Illinois(8/1/2013)
RR
Indiana(8/23/2013)
RR
Iowa(8/21/2013)
RR
Kansas(7/30/2013)
RR
Kentucky(8/22/2013)
RR
Louisiana(8/27/2013)
RR
Maine(7/31/2013)
RR
Maryland(8/5/2013)
RR
Massachusetts(8/1/2013)
RR
Michigan(8/26/2013)
RR
Minnesota(8/26/2013)
RR
Mississippi(7/30/2013)
RR
Missouri(8/6/2013)
RR
Montana(7/31/2013)
RR
Nebraska(8/5/2013)
RR
Nevada(7/30/2013)
RR
New Hampshire(7/30/2013)
RR
New Jersey(8/28/2013)
RR
New Mexico(8/23/2013)
RR
New York(9/20/2013)
RR
North Carolina(8/21/2013)
RR
North Dakota(8/21/2013)
RR
Ohio(7/31/2013)
RR
Oklahoma(8/21/2013)
RR
Oregon(7/31/2013)
RR
Pennsylvania(7/31/2013)
RR
Rhode Island(8/2/2013)
RR
South Carolina(9/5/2013)
RR
South Dakota(8/22/2013)
RR
Texas(8/9/2013)
RR
Utah(7/31/2013)
RR
Vermont(8/26/2013)
RR
Virginia(7/30/2013)
RR
Washington(8/28/2013)
RR
West Virginia(8/29/2013)
RR
Wisconsin(7/30/2013)
RR
Wyoming(8/6/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BBVA SECURITIES INC.
BBV LATINVEST SECURITIES INC. | LATINVEST SECURITIES INC. | INVERMEXICO USA, INC. | BBVA SECURITIES INC. | BBVA INVESTMENTS, A DIVISION OF BBVA SECURITIES INC. | BBV SECURITIES INC.
CRD#: 27060 / SEC#: , 8-42857
BD
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)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
