Esteban Fernandez
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.
Esteban Fernandez, who also goes by Esteban Steve Fernandez, Esteban Steven Fernandez, was a registered financial professional .
Esteban is a previously registered financial professional and started their career in finance in 2001. Esteban had worked at 8 firms and has passed the 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
June 26, 2019 - August 23, 2022
BBVA SECURITIES INC.
July 6, 2017 - September 7, 2018
BBVA SECURITIES INC.
April 24, 2013 - July 6, 2017
DEUTSCHE BANK SECURITIES INC.
July 25, 2011 - January 2, 2013
FG ADVISORS, LLC
May 7, 2010 - December 21, 2010
FURTHER LANE SECURITIES, L.P.
July 14, 2003 - September 20, 2006
GLEACHER & COMPANY SECURITIES, INC.
January 2, 2002 - July 17, 2003
OPPENHEIMER & CO. INC.
December 11, 2001 - January 2, 2002
JOSEPHTHAL & CO., INC.
October 11, 2001 - November 8, 2001
QUEST CAPITAL STRATEGIES, 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
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.
