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Detailed Report
ESTELA SOTELO
ESTELA FELIX SOTELO
CRD#: 4261225
IA
Investment Adviser
B
Broker
PNC INVESTMENTSCRD#: 129052 1703 W. 5th St
5th Floor
Austin, TX 78703
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2001 (<1 year)2 FIRMS2021 - Present (3 years)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2021 (8 years)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2005 - 2013 (8 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2001 - 2003 (2 years)IAPNC MANAGED ACCOUNT SOLUTIONS,... (CRD# 110476)2017 - 2021 (3 years)IABANC ONE SECURITIES CORPORATION (CRD# 16999)2002 - 2003 (<1 year)
License(s)

State Registrations

B
Alabama 8/27/2021
B
New Mexico 8/27/2021
B
Arizona 8/27/2021
B
New York 8/27/2021
B
Arkansas 8/27/2021
B
North Carolina 8/27/2021
B
California 8/27/2021
B
Ohio 8/27/2021
B
Colorado 8/27/2021
B
Oklahoma 8/27/2021
B
Florida 8/27/2021
B
Oregon 8/27/2021
B
Georgia 8/27/2021
B
Pennsylvania 8/27/2021
B
Indiana 8/27/2021
B
South Carolina 8/27/2021
B
Kansas 8/27/2021
B
Texas 8/23/2021
B
Kentucky 8/27/2021
IA
Texas 8/23/2021
B
Louisiana 8/27/2021
B
Utah 8/27/2021
B
Michigan 8/27/2021
B
Virginia 8/27/2021
B
Missouri 8/27/2021
B
Washington 8/27/2021
B
Nevada 8/27/2021
B
West Virginia 8/27/2021
B
New Jersey 8/27/2021
B
Wisconsin 8/27/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PNC INVESTMENTS (CRD#:129052)
1703 W. 5th St 5th Floor, Austin, TX 78703
990 EAST BASSE ROAD, SAN ANTONIO, TX 78209
Registered with this firm since 8/23/2021
B
PNC INVESTMENTS (CRD#:129052)
1703 W. 5th St 5th Floor, Austin, TX 78703
990 EAST BASSE ROAD, SAN ANTONIO, TX 78209
Registered with this firm since 8/23/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/21/2017 - 08/23/2021 PNC MANAGED ACCOUNT SOLUTIONS, INC. (CRD#:110476) San Antonio, TX
B
 05/16/2013 - 08/23/2021 BBVA SECURITIES INC. (CRD#:27060) SAN ANTONIO, TX
B
 04/04/2005 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) HELOTES, TX
IA
 09/12/2002 - 08/19/2003 BANC ONE SECURITIES CORPORATION (CRD#:16999) SAN ANTONIO, TX
B
 05/22/2001 - 08/19/2003 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 10/11/2000 - 02/13/2001 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 10/11/2000 - 02/13/2001 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.