Afanual T. Coats
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.
Afanual Timothy Coats, who also goes by Afanual T Coats, Afanual T. Coats, Tim Coats, Timothy Coats, was a registered financial professional .
Afanual is a previously registered financial professional and started their career in finance in 2002. Afanual had worked at 9 firms and has passed the Series 65, 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
May 16, 2013 - January 22, 2015
BBVA SECURITIES INC.
February 6, 2013 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 4, 2011 - May 20, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 9, 2010 - April 29, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
April 8, 2008 - February 9, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 13, 2006 - February 9, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 9, 2005 - December 31, 2005
OSAIC FS, INC.
February 25, 2004 - December 31, 2004
FORESTERS EQUITY SERVICES, INC.
August 1, 2002 - November 21, 2002
METROPOLITAN LIFE INSURANCE COMPANY
August 1, 2002 - November 21, 2002
MSI FINANCIAL SERVICES, INC.
March 11, 2002 - August 2, 2002
SECURIAN FINANCIAL 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
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.
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