Martin L. Flack
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.
Martin L. Flack, who also goes by Martin L Flack, Martin Lawrence Flack, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1993. Martin had worked at 7 firms and has passed the Series 66, Series 7 and Series 52 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 7, 2013
BBVA SECURITIES INC.
August 9, 2012 - August 7, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 6, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 1, 2010 - July 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 28, 2010 - July 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 21, 2006 - March 23, 2010
TRUIST INVESTMENT SERVICES, INC.
January 1, 2005 - March 23, 2010
TRUIST INVESTMENT SERVICES, INC.
April 1, 1998 - April 29, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 6, 1996 - April 1, 1998
BARNETT INVESTMENTS, INC.
January 25, 1994 - April 1, 1998
BARNETT INVESTMENTS, INC.
September 20, 1993 - June 20, 1995
BARNETT 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
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.
