Joshua L. Nowak
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.
Joshua L Nowak, who also goes by Josh Lee Nowak, Josh Nowak, Joshua Lee Nowak, Joshua Nowak, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2005. Joshua had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 79 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 13, 2019 - October 10, 2019
BBVA SECURITIES INC.
June 3, 2014 - January 4, 2019
LLOYDS SECURITIES
August 11, 2006 - June 20, 2007
CHASE INVESTMENT SERVICES CORP.
August 11, 2006 - June 20, 2007
CHASE INVESTMENT SERVICES CORP.
June 6, 2006 - July 18, 2006
CHASE INVESTMENT SERVICES CORP.
June 6, 2006 - July 18, 2006
CHASE INVESTMENT SERVICES CORP.
May 18, 2005 - May 4, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 25, 2005 - May 4, 2006
IDS LIFE INSURANCE COMPANY
April 25, 2005 - May 4, 2006
AMERIPRISE FINANCIAL 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
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.
