Michael B. Travers
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.
Michael B. Travers, who also goes by Michael B Travers, Michael Bruce Travers, Michael Travers, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 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
October 17, 2017 - April 9, 2018
BBVA SECURITIES INC.
March 15, 2016 - July 19, 2016
FOREST SECURITIES,INC.
February 11, 2015 - March 3, 2015
SECURE INVESTMENT MANAGEMENT, LLC
November 25, 2014 - February 10, 2015
CUNA BROKERAGE SERVICES, INC.
November 14, 2014 - February 10, 2015
CUNA BROKERAGE SERVICES, INC.
September 8, 2014 - September 24, 2014
INVESTACORP ADVISORY SERVICES INC
September 8, 2014 - September 24, 2014
INVESTACORP, INC.
March 21, 2013 - July 24, 2014
STRATEGIC ADVISERS LLC
March 8, 2013 - July 21, 2014
FIDELITY BROKERAGE SERVICES LLC
September 26, 2012 - December 4, 2012
NEXT FINANCIAL GROUP, INC.
September 5, 2012 - December 4, 2012
NEXT FINANCIAL GROUP, INC.
May 9, 2011 - May 31, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2011 - May 31, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 2008 - July 21, 2009
CHASE INVESTMENT SERVICES CORP.
September 18, 2007 - March 20, 2008
STATE FARM VP MANAGEMENT CORP.
November 30, 2006 - August 9, 2007
CHASE INVESTMENT SERVICES CORP.
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
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