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FIRM PROFILE
Overview
BBVA SECURITIES INC. is located at 375 9th Avenue, 9th Floor, New York, NY 10001 and was first established at New York, Delaware in 03/13/1990. After operating for 36 years, BBVA SECURITIES INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of BBVA SECURITIES INC.’s clients are individuals and 0% of their clients are high net worth individuals. BBVA SECURITIES INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at BBVA SECURITIES INC. are registered to handle securities or provide financial advice. The firm has 10 disclosures, 10 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access BBVA SECURITIES INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at BBVA SECURITIES INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for BBVA SECURITIES INC. Comes From
Understanding the Statistics for BBVA SECURITIES INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
375 9th Avenue 9th Floor, New York, NY, 10001
375 9th Avenue 9th Floor, New York, NY, 10001
Medium
(212) 728-1500
Delaware since 03/13/1990
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at BBVA SECURITIES INC.
Christopher Glenn
Stephen Nguyen
John Peter Kraemer
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