Alvin S. Porter
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.
Alvin S Porter, who also goes by Al Porter, Alvin Samuel Porter, Sam Porter, was a registered financial professional .
Alvin is a previously registered financial professional and started their career in finance in 1990. Alvin had worked at 13 firms and has passed the Series 63, SIE, Series 6, Series 7 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
July 17, 2014 - December 4, 2014
BBVA SECURITIES INC.
August 15, 2011 - August 6, 2012
CHASE INVESTMENT SERVICES CORP.
September 14, 2004 - December 31, 2004
WORLD GROUP SECURITIES, INC.
August 22, 2001 - September 19, 2002
CHARLES SCHWAB & CO., INC.
December 1, 1999 - September 19, 2002
CHARLES SCHWAB & CO., INC.
June 9, 1998 - June 26, 1998
CHARLES SCHWAB & CO., INC.
July 12, 1996 - December 21, 1998
NYLIFE SECURITIES LLC
February 12, 1996 - May 29, 1996
AMERICORP SECURITIES, INC.
August 30, 1993 - April 18, 1995
FIDELITY BROKERAGE SERVICES LLC
January 15, 1993 - May 4, 1993
NORTHGATE SECURITIES INC.
August 4, 1992 - January 8, 1993
GKN SECURITIES CORP.
March 13, 1992 - July 31, 1992
TD AMERITRADE, INC.
July 25, 1991 - September 17, 1991
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
April 11, 1991 - July 10, 1991
M.G.S.I. SECURITIES, INC.
November 27, 1990 - April 16, 1991
LEHMAN BROTHERS 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
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.
