Articles Tagged with BBVA Securities

Careena PatelPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Texas-based BBVA Securities broker/adviser Careena Patel has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Patel (CRD# 5444676).

Careena Patel has spent eight years in the securities industry and has been registered with BBVA Securities in Dallas, Texas since 2016. Previous registrations include Fidelity Brokerage Services in West Hartford, Connecticut (2015-2016); LPL Financial in Glastonbury, Connecticut (2011-2014); NewAlliance Investments in Manchester, Connecticut (2010-2011: and Edward Jones in West Hartford, Connecticut (2009-2010). She has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on November 3, 2009; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which she obtained on September 22, 2009. She is a registered broker and investment adviser with two US states—Florida and Texas—and with one self-regulatory organization, FINRA.

According to her BrokerCheck report, she has received one customer complaint and one pending customer complaint.

Michael KanePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that Texas-based BBVA Securities broker/adviser Michael Kane has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kane (CRD# 5099883).

Michael Kane has spent 12 years in the securities industry and has been registered with BBVA Securities in Allen and McKinney, Texas since 2015. Previous registrations include Cetera Investment Services in Garland, Texas (2014-2015); JP Morgan Securities in Monroe, Louisiana (2012-2014); Chase Investment Services Corporation in Alexandria, Louisiana (2007-2012); and Capital One Investments in Slidell, Louisiana (2006-2007). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 12, 2007; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 24, 2006; Series 4 (Registered Options Principal Examination), which he obtained on May 11, 2012; Series 53 (Municipal Securities Principal Examination), which he obtained on November 19, 2010; and Series 24 (General Securities Principal Examination), which he obtained on April 22, 2010. He is registered as a broker and investment adviser in Texas.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.