Philip Michael Schubert
Professional Summary
Philip Michael Schubert is a registered financial advisor currently at BBVA SECURITIES INC. located in New York, New York. Philip is registered as a RR (Registered Representative) and started their career in finance in 2007. Philip has worked at 2 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Years of Experience
19 years in the financial services industry
Current & Past Employments
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Current Firm
BBV LATINVEST SECURITIES INC. | LATINVEST SECURITIES INC. | INVERMEXICO USA, INC. | BBVA SECURITIES INC. | BBVA INVESTMENTS, A DIVISION OF BBVA SECURITIES INC. | BBV SECURITIES INC.
Contact Information
Main Address
375 9th Avenue 9th Floor, New York, NY, 10001Mailing Address
375 9th Avenue 9th Floor, New York, NY, 10001Phone Number
(212) 728-1500Established
Delaware since 03/13/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| 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
10Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
State Registrations and Notice Filings
(9/10/2010)
(7/29/2010)
(9/17/2010)
(9/27/2010)
(7/28/2010)
(8/2/2010)
(8/23/2010)
(9/15/2010)
(10/8/2010)
(11/15/2010)
(9/9/2010)
(7/28/2010)
(7/28/2010)
(9/10/2010)
(7/29/2010)
(7/28/2010)
(7/28/2010)
(8/11/2010)
(7/28/2010)
(7/29/2010)
(7/28/2010)
(8/25/2010)
(9/13/2010)
(9/30/2010)
(7/28/2010)
(9/9/2010)
(8/4/2010)
(9/9/2010)
(7/29/2010)
(9/9/2010)
(9/15/2010)
(7/28/2010)
(8/2/2010)
(7/28/2010)
(8/5/2010)
(9/9/2010)
(7/28/2010)
(7/28/2010)
(8/19/2010)
(7/29/2010)
(7/30/2010)
(9/9/2010)
(9/15/2010)
(7/28/2010)
(9/13/2010)
(8/24/2010)
(7/28/2010)
(7/28/2010)
(11/4/2010)
(7/28/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Nov 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
CRS (Client Relationship Summary) - BD
Click below to view Philip Michael Schubert's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
