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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 Click the link below to view financial information for this firm View Financial Information Firm Activity Status Firm has on-exchange futures and/or options customer accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 0 CFTC 0 Exchanges 3 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 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 BRACERO CHIEF FINANCIAL OFFICER NO MALLORY KEITH BROOKS NO LISTED TITLE NO DAVID LOUIS BRUNNER PRESIDENT NO DANNY COZINE DIRECTOR NO BRUNO DILLIERS DIRECTOR NO LAURENT DULOUT NO LISTED TITLE NO CHRISTINA FEICHT DIRECTOR NO JEAN YVES FILLION DIRECTOR NO CLAUDINE GALLAGHER DIRECTOR NO RAPHAEL MASGNAUX HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO CHRISTIAN LAURENCE MUNDIGO DIRECTOR NO EDWARD SPEAL DIRECTOR NO STEPHEN CHARLES STROMBELLINE CHIEF COMPLIANCE OFFICER NO KONRAD CULLEN TESTWUIDE DIRECTOR NO History  Status Effective Date • SWAP FIRM APPROVED 11/29/2012  • SWAP FIRM PENDING 11/20/2012  • EXEMPT FOREIGN FIRM AGENT APPROVED 10/05/2011  • FUTURES COMMISSION MERCHANT REGISTERED 03/06/1990  • NFA MEMBER APPROVED 03/06/1990  • FUTURES COMMISSION MERCHANT PENDING 11/28/1989  • NFA MEMBER PENDING 11/28/1989