JS
Joseph C. Spinelli
BBVA SECURITIES
New York, NY 10001
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CRD#: 2436743
JS
Professional summary
Joseph Charles Spinelli is a registered financial professional currently at BBVA SECURITIES INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1995. Joseph has worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14 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 Joseph Charles Spinelli'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
August 26, 2008 - Present
BBVA SECURITIES INC.
Office #1: 375 9th Avenue 9th Floor, New York, NY 10001Office #2: 375 9th Avenue 9th Floor, New York, NY, 10001BD
CRD#: 27060
New York, NY
Past
March 15, 2001 - August 1, 2008
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
August 15, 1997 - March 15, 2001
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
July 2, 1996 - August 26, 1997
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
February 23, 1995 - July 3, 1996
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
January 10, 1995 - March 2, 1995
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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(2/3/2009)
RR
Alaska(1/7/2009)
RR
Arizona(2/9/2009)
RR
Arkansas(1/8/2009)
RR
California(1/7/2009)
RR
Colorado(1/7/2009)
RR
Connecticut(2/20/2009)
RR
Delaware(2/26/2009)
RR
District of Columbia(1/26/2009)
RR
Florida(1/7/2009)
RR
Georgia(2/6/2009)
RR
Hawaii(2/27/2009)
RR
Idaho(1/7/2009)
RR
Illinois(2/3/2009)
RR
Indiana(2/20/2009)
RR
Iowa(1/26/2009)
RR
Kansas(2/23/2009)
RR
Kentucky(1/12/2009)
RR
Louisiana(1/16/2009)
RR
Maine(2/25/2009)
RR
Maryland(1/20/2009)
RR
Massachusetts(1/7/2009)
RR
Michigan(2/13/2009)
RR
Minnesota(1/7/2009)
RR
Mississippi(1/7/2009)
RR
Missouri(2/3/2009)
RR
Montana(1/22/2009)
RR
Nebraska(2/3/2009)
RR
Nevada(1/12/2009)
RR
New Hampshire(2/2/2009)
RR
New Jersey(2/26/2009)
RR
New Mexico(1/23/2009)
RR
New York(8/26/2008)
RR
North Carolina(1/15/2009)
RR
North Dakota(1/16/2009)
RR
Ohio(1/26/2009)
RR
Oklahoma(1/14/2009)
RR
Oregon(3/25/2009)
RR
Pennsylvania(2/6/2009)
RR
Puerto Rico(1/27/2009)
RR
Rhode Island(2/13/2009)
RR
South Carolina(1/27/2009)
RR
South Dakota(1/7/2009)
RR
Texas(1/7/2009)
RR
Utah(2/3/2009)
RR
Vermont(2/17/2009)
RR
Virgin Islands(1/12/2009)
RR
Virginia(1/7/2009)
RR
Washington(1/7/2009)
RR
West Virginia(2/18/2009)
RR
Wisconsin(1/30/2009)
RR
Wyoming(1/29/2009)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 10/27/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
