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DS

Dong B. Sohn

BBVA SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 5115452
DS

Professional summary

Dong B Sohn, who also goes by David B Sohn, is a registered financial professional currently at BBVA SECURITIES INC. located in New York, New York.

Dong is registered as a RR (Registered Representative) and started their career in finance in 2008. Dong has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David B Sohn

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 Dong B Sohn'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

November 17, 2025 - Present

BBVA SECURITIES INC.

Office #1: 375 9th Avenue 9th Floor, New York, NY 10001
BD
CRD#: 27060
New York, NY
Past

April 26, 2019 - November 12, 2025

SMBC NIKKO SECURITIES CANADA, LTD.

BD
CRD#: 297706
NEW YORK, NY
Past

January 8, 2013 - November 12, 2025

SMBC NIKKO SECURITIES AMERICA, INC.

BD
CRD#: 28602
NEW YORK, NY
Past

October 8, 2009 - December 10, 2012

FURTHER LANE SECURITIES, L.P.

BD
CRD#: 38162
NEW YORK, NY
Past

June 26, 2008 - September 4, 2009

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(11/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/25/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/27/2009
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BBVA SECURITIES INC.
BBV LATINVEST SECURITIES INC. | LATINVEST SECURITIES INC. | INVERMEXICO USA, INC. | BBVA SECURITIES INC. | BBVA INVESTMENTS, A DIVISION OF BBVA SECURITIES INC. | BBV SECURITIES INC.

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BBVA USD INVESTMENTS, S.A.OWNER
ALARCON GONZALEZ, LUIS FRANCISCODIRECTOR7560286
CANGCUESTA, KRISTINE FAITHUS HEAD OF BSA/AML8096305
GIL HERNANDEZ, REGINADIRECTOR5774494
JENSEN, PETER EGELUNDDIRECTOR, CEO & MANAGING DIRECTOR, INSTITUTIONAL; CHAIRMAN OF THE BOARD2596069
MOSCARA, STEPHEN MICHAELDIRECTOR, EXECUTIVE VICE PRESIDENT AND FINOP4564002
MURPHY, COLIN AOPERATIONS PRINCIPAL INSTITUTIONAL4274816
NEEL, DAVID SULLIVAN JRCO-CCO, SENIOR VICE PRESIDENT, DIRECTOR OF RETAIL COMPLIANCE1884109
RAGHAVAN, PRIYADIRECTOR6485341
SCHUBERT, PHILIP MICHAELDIRECTOR5285568
SOHN, DONG BCHIEF FINANCIAL OFFICER5115452
SPINELLI, JOSEPH CHARLESCO-CCO, VICE PRESIDENT, HEAD OF INSTITUTIONAL COMPLIANCE2436743
SWAMMY, SARAH ALEXANDRADIRECTOR4010520

Disclosures

Regulatory Event10

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.

Company Information

BBVA SECURITIES INC.

CRD#: 27060New York, NY 10001

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