Donald B. Kaelin
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.
Donald Brian Kaelin was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1989. Donald had worked at 8 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 53 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 - August 23, 2021
BBVA SECURITIES INC.
October 15, 2010 - August 23, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 26, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
September 2, 2009 - March 15, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 8, 2007 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
July 10, 2003 - October 25, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
February 3, 2003 - July 28, 2003
AMSOUTH INVESTMENT SERVICES, INC.
January 19, 2000 - October 25, 2006
AMSOUTH INVESTMENT SERVICES, INC.
February 15, 1996 - January 7, 2000
BANC ONE SECURITIES CORPORATION
April 18, 1989 - February 14, 1996
J.J.B. HILLIARD, W.L. LYONS, LLC
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 7TO
Date: 3/22/2024
General Securities Representative 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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