Jennifer B. Mckay
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.
Jennifer Brockway Mckay, who also goes by Jennifer Lois Brockway, Jennifer B Glover, Jennifer Brockway Glover, Jennifer Brockway Luke, Jennifer Luke, Jenni Mckay, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2001. Jennifer had worked at 5 firms and has passed the Series 66, Series 7TO, 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
October 2, 2015 - April 23, 2021
BBVA SECURITIES INC.
April 26, 2012 - October 30, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 16, 2009 - August 25, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 15, 2007 - April 8, 2008
MORGAN KEEGAN & COMPANY, LLC
June 8, 2007 - April 8, 2008
MORGAN KEEGAN & COMPANY, LLC
October 13, 2003 - December 31, 2006
AMSOUTH INVESTMENT SERVICES, INC.
August 26, 2003 - September 19, 2003
SYNOVUS SECURITIES, INC.
August 26, 2003 - September 19, 2003
SYNOVUS SECURITIES, INC.
November 9, 2001 - August 21, 2003
AMSOUTH INVESTMENT SERVICES, 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
Series 7TO
Date: 4/15/2024
General Securities Representative ExaminationCurrent 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.
