Robert G. Adams
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.
Robert G. Adams, who also goes by Rob Adams, Robert G Adams, Robert Glenn Adams, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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 - May 21, 2019
BBVA SECURITIES INC.
April 18, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 1, 2008 - July 12, 2010
J.P. MORGAN SECURITIES LLC
October 1, 2008 - July 12, 2010
J.P. MORGAN SECURITIES LLC
September 27, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
March 1, 2005 - September 27, 2006
BANC ONE SECURITIES CORPORATION
March 1, 2005 - July 1, 2006
BANC ONE SECURITIES CORPORATION
March 26, 2004 - November 30, 2004
COMERICA SECURITIES
March 26, 2004 - November 30, 2004
COMERICA SECURITIES
December 20, 2001 - August 27, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2001 - August 27, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2001 - December 19, 2001
CHASE INVESTMENT SERVICES CORP.
July 6, 2001 - January 3, 2002
J.P. MORGAN SECURITIES OF TEXAS, INC.
September 27, 2000 - June 29, 2001
J.P. MORGAN SECURITIES INC.
March 9, 2000 - October 17, 2000
J.P. MORGAN SECURITIES OF TEXAS, 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
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