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Registration History
200620082010201220142016201820202022202420262 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - Present (2 years)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2021 (8 years)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2006 - 2013 (6 years)IAPNC MANAGED ACCOUNT SOLUTIONS,... (CRD# 110476)2017 - 2021 (4 years)
Disclosure(s)
View By:
1/24/2020
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
California 5/27/2022

IA
Texas 5/27/2022

B
Texas 5/27/2022

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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
HILLTOP SECURITIES INC. (CRD#:6220)
RICHMOND, TX
Registered with this firm since 5/27/2022

B
HILLTOP SECURITIES INC. (CRD#:6220)
RICHMOND, TX
Registered with this firm since 5/27/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/19/2021 - 06/01/2022 PNC INVESTMENTS (CRD#:129052) MISSOURI CITY, TX
B
08/16/2021 - 06/01/2022 PNC INVESTMENTS (CRD#:129052) MISSOURI CITY, TX
IA
02/10/2017 - 08/17/2021 PNC MANAGED ACCOUNT SOLUTIONS, INC. (CRD#:110476) Sugarland, TX
B
05/16/2013 - 08/16/2021 BBVA SECURITIES INC. (CRD#:27060) RICHMOND, TX
B
10/09/2006 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) SUGARLAND, TX
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B
Broker
IA
Investment Adviser
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.