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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-12-01 |
| CA | RA | APPROVED | 2022-11-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 05/2014 | 11/2022 |
| Bbva Wealth Solutions Inc. | Houston | TX | 10/2010 | 11/2022 |
| Bbva Securities Inc. | San Diego | CA | 05/2013 | 11/2022 |
| Compass Bank | Birmingham | AL | 01/2008 | 11/2022 |
| Pnc Investments | San Diego | CA | 09/2021 | 11/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 11/2022 | Present |
| Bank Of America, N.A. | San Diego | CA | 01/2023 | Present |
POSITION: PARTIAL OWNER NATURE: COMMERCIAL PLAZA, LOCALS TO BE LEASED INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/04/2016 ADDRESS: Tijuana, B.C., MEXICO CA DESCRIPTION: TENANT
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-01-22 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-30 |
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