Marceau Sautelet
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.
Marceau Sautelet III, who also goes by Marceau III Sautelet, was a registered financial professional .
Marceau is a previously registered financial professional and started their career in finance in 1995. Marceau had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2015 - June 28, 2016
BBVA SECURITIES INC.
October 1, 2012 - September 24, 2015
J.P. MORGAN SECURITIES LLC
April 12, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 19, 2010 - September 7, 2010
NYLIFE SECURITIES LLC
October 15, 2007 - September 8, 2008
VALIC FINANCIAL ADVISORS, INC.
July 6, 2005 - May 30, 2007
CHASE INVESTMENT SERVICES CORP.
September 25, 2000 - July 6, 2005
BANC ONE SECURITIES CORPORATION
December 24, 1998 - February 18, 1999
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 18, 1996 - May 20, 1998
FORESTERS FINANCIAL SERVICES, INC.
June 22, 1995 - January 12, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 22, 1995 - January 12, 1996
SIGNATOR INVESTORS, INC.
April 5, 1995 - April 24, 1995
PRUCO SECURITIES, 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
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
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