Sean P. Doherty Jr.
Professional summary
Sean Patrick Doherty Jr., who also goes by Sean Patrick Doherty Jr, is a registered financial professional currently at BBVA SECURITIES INC. located in New York, New York.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2020. Sean has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 99TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Patrick Doherty Jr.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 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 9, 2022 - November 27, 2024
STIFEL INDEPENDENT ADVISORS, LLC
August 13, 2021 - November 27, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 30, 2020 - August 18, 2021
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/14/2024)
Exams
Series 7TO
Date: 1/31/2022
General Securities Representative ExaminationSeries 99TO
Date: 9/3/2020
Operations Professional ExaminationFINRA
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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