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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
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
GEORGE L PARRYCHIEF FINANCIAL OFFICERNO
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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