Vineeta Prakash
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.
Vineeta Prakash, who also goes by VIneeta Ranjalin Lata, Vineeta R Prakash, Vineeta Ranjalin Prakash, was a registered financial professional .
Vineeta is a previously registered financial professional and started their career in finance in 2002. Vineeta had worked at 10 firms and has passed the Series 63, Series 6TO, 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
September 26, 2019 - August 23, 2021
BBVA SECURITIES INC.
May 12, 2016 - January 17, 2018
U.S. BANCORP ADVISORS, LLC
August 13, 2014 - April 22, 2016
MWA FINANCIAL SERVICES INC.
October 15, 2012 - December 31, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 9, 2012 - October 8, 2012
PFS INVESTMENTS INC.
February 25, 2010 - November 12, 2010
NYLIFE SECURITIES LLC
September 22, 2009 - December 17, 2009
PRUCO SECURITIES, LLC.
May 29, 2007 - July 24, 2009
CITIGROUP GLOBAL MARKETS INC.
February 5, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 15, 2002 - February 5, 2003
CAL FED INVESTMENTS
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 6TO
Date: 3/7/2024
Investment Company Products/Variable Contracts 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.
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