Adam J. Fraser

BBVA SECURITIES

New York, NY 10001

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CRD#: 5095599

Professional summary

Adam James Fraser is a registered financial professional currently at BBVA SECURITIES INC. located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2008. Adam has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam James Fraser's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 21, 2022 - Present

BBVA SECURITIES INC.

Office #1: 375 9th Avenue 9th Floor, New York, NY 10001Office #2: 375 9th Avenue 9th Floor, New York, NY, 10001

CRD#: 27060

New York, NY

Past

July 10, 2017 - November 3, 2022

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

May 6, 2014 - August 5, 2016

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

February 12, 2008 - April 24, 2014

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(10/21/2022)

Exams

State Security Law Exam

Series 63

Date: 4/22/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BBVA SECURITIES INC.

CRD#: 27060 / SEC#: , 8-42857

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

375 9th Avenue 9th Floor, New York, NY, 10001

Mailing Address

375 9th Avenue 9th Floor, New York, NY, 10001

Phone number

(212) 728-1500

Established

Delaware since 03/13/1990

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

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Adam J. Fraser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam James Fraser's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

MACQUARIE CAPITAL (USA) INC.

BNP PARIBAS SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/11/2008

FINRA

Current Firm

BBVA SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BBVA SECURITIES INC.

TRUST BUT VERIFY

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