Andreas Maerki
Professional summary
Andreas Maerki is a registered financial professional currently at BBVA SECURITIES INC. located in New York, New York.
Andreas is registered as a RR (Registered Representative) and started their career in finance in 2007. Andreas has 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) - BD
Click below to view Andreas Maerki's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2024 - Present
BBVA SECURITIES INC.
Office #1: 375 9th Avenue 9th Floor, New York, NY 10001Office #2: 375 9th Avenue 9th Floor, New York, NY, 10001August 8, 2019 - February 9, 2024
SMBC NIKKO SECURITIES AMERICA, INC.
April 23, 2015 - February 5, 2018
CITIGROUP GLOBAL MARKETS INC.
February 10, 2011 - June 14, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 1, 2011 - June 14, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 12, 2008 - December 8, 2008
UBS FINANCIAL SERVICES INC.
September 19, 2007 - December 8, 2008
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/12/2024)
Exams
FINRA
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 |
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