James F. Mcginnis
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.
James Francis Mcginnis was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 8 firms and has passed the Series 63, Series 3, Series 5, Series 15, Series 14, Series 53, Series 24, F04, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2011 - June 13, 2014
BBVA SECURITIES INC.
June 28, 2011 - October 27, 2011
BNP PARIBAS PRIME BROKERAGE, INC.
January 5, 2007 - October 26, 2011
BNP PARIBAS SECURITIES CORP.
January 11, 2001 - May 1, 2001
JPMSI
October 24, 1988 - October 24, 1990
CHEMICAL INTERNATIONAL SECURITIES CORP.
April 27, 1987 - January 10, 2007
J.P. MORGAN SECURITIES INC.
November 18, 1981 - February 23, 1987
MORGAN STANLEY & CO. LLC
February 28, 1980 - September 11, 1981
FITTIN, CUNNINGHAM & LAUZON, 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
Exams
Series 5
Date: 9/7/1984
Interest Rate Options ExaminationSeries 15
Date: 6/12/1984
Foreign Currency Options ExaminationF04
Date: 2/4/1981
Financial Principal ExaminationSeries 12
Date: 6/1/1980
NYSE Branch Manager ExaminationCurrent 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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