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Details

BNP PARIBAS SECURITIES CORP NFA ID: 0227137

Current Status
• SWAP FIRM APPROVED 
• EXEMPT FOREIGN FIRM AGENT APPROVED 
• FUTURES COMMISSION MERCHANT REGISTERED 
• NFA MEMBER APPROVED 
FCM Financial Information
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Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA0
CFTC1
Exchanges9
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total0
details...
Formerly Known As
• PARIBAS CORPORATION
 
Business Address
787 SEVENTH AVENUE
28TH FLOOR
NEW YORK, NY  10019
UNITED STATES
212-841-3000
Doing Business As
No other names
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
BNP PARIBAS NORTH AMERICA INC YES
FRANK WILLIAM BRACEROCHIEF FINANCIAL OFFICERNO
DANNY COZINEDIRECTORNO
BRUNO DILLIERSDIRECTORNO
JEAN YVES FILLIONDIRECTORNO
CLAUDINE GALLAGHERDIRECTORNO
ROBERT W JR HAWLEYPRESIDENTNO
ANNIE WEN CHUAN HSUCHIEF COMPLIANCE OFFICERNO
LAWRENCE HARRIS LISTCHIEF OPERATING OFFICERNO
JEFFREY CRAIG LOWEDIRECTORNO
THOMAS JOSEPH MAHONEYDIRECTORNO
PASCAL JEAN PAUL FRANCIS NOTTEDIRECTORNO
EDWARD SPEALDIRECTORNO
MARK ANDREWS YEOCHIEF OPERATING OFFICERNO
History
 Status Effective Date
• SWAP FIRM APPROVED11/29/2012 
• SWAP FIRM PENDING11/20/2012 
• EXEMPT FOREIGN FIRM AGENT APPROVED10/05/2011 
• FUTURES COMMISSION MERCHANT REGISTERED03/06/1990 
• NFA MEMBER APPROVED03/06/1990 
• FUTURES COMMISSION MERCHANT PENDING11/28/1989 
• NFA MEMBER PENDING11/28/1989 
 
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