David L. Brunner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Louis Brunner was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 5 firms and has passed the SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2012 - January 29, 2016
BNP PARIBAS PRIME BROKERAGE, INC.
June 20, 2002 - January 1, 2005
BNP PARIBAS BROKERAGE SERVICES, INC.
April 4, 1985 - January 29, 2016
BNP PARIBAS SECURITIES CORP.
July 1, 1983 - December 31, 1984
BECKER PARIBAS INCORPORATED
November 24, 1982 - June 30, 1983
WARBURG PARIBAS BECKER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/31/2003
Limited Representative-Equity Trader ExamCurrent Firm
BNP PARIBAS PRIME BROKERAGE, INC.
CRD#: 24962 / SEC#: , 8-40490
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNP PARIBAS US WHOLESALE HOLDINGS, CORP | OWNER | |
| ALTER, ANDREW WILLIAM | CHIEF LEGAL OFFICER AND SECRETARY | 4183449 |
| COZINE, DANNY | DIRECTOR | 4454984 |
| D'ILLIERS, BRUNO | DIRECTOR | 5932836 |
| FARRELL, MICHAEL F | CHIEF FINANCIAL OFFICER, FINOP | 2562352 |
| GALLAGHER, CLAUDINE | DIRECTOR | 6023604 |
| HAWLEY, ROBERT WILLIAM JR | CHAIRMAN | 828024 |
| HAWLEY, ROBERT WILLIAM JR | DIRECTOR | 828024 |
| LIST, LAWRENCE HARRIS | CHIEF OPERATING OFFICER | 2713411 |
| LOWE, JEFFREY CRAIG | PRESIDENT & DIRECTOR | 4820729 |
| MARTINO, MICHAEL BENEDICT | CHIEF OPERATIONS OFFICER | 4420944 |
| SPEAL, EDWARD NICHOLAS | DIRECTOR | 2122359 |
| WYNN, HOWARD M | CHIEF COMPLIANCE OFFICER | 5836243 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
Red Flags
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