Benjamin Vega
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.
Benjamin Vega, who also goes by Ben Vega, Benjamin Vega Jr, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1998. Benjamin had worked at 10 firms and has passed the Series 66, Series 63 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 - June 27, 2014
BBVA SECURITIES INC.
May 17, 2011 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 3, 2011 - April 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - April 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 19, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 19, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 8, 2008 - March 17, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 8, 2008 - March 17, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 1, 2008
FIDELITY BROKERAGE SERVICES LLC
August 16, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
October 26, 2006 - May 2, 2008
STRATEGIC ADVISERS LLC
July 7, 2005 - June 15, 2007
FIDELITY BROKERAGE SERVICES LLC
May 25, 2005 - June 28, 2005
NYLIFE SECURITIES LLC
August 8, 2003 - April 12, 2005
BANC ONE SECURITIES CORPORATION
August 8, 2003 - April 12, 2005
BANC ONE SECURITIES CORPORATION
June 17, 2003 - July 7, 2003
EQUITABLE ADVISORS, LLC
June 16, 2003 - July 7, 2003
EQUITABLE ADVISORS, LLC
September 22, 1998 - June 2, 2003
FIDELITY BROKERAGE SERVICES 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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