Michael L. Graziano
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.
Michael Ludwig Graziano was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 53, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2013 - August 5, 2019
BNP PARIBAS SECURITIES CORP.
April 27, 2004 - October 15, 2008
RBS SECURITIES CORPORATION
August 11, 2000 - April 16, 2004
CITIGROUP GLOBAL MARKETS INC.
April 20, 1999 - June 23, 2000
CA IB SECURITIES (NEW YORK) INC.
January 25, 1999 - June 23, 2000
BANK AUSTRIA SECURITIES, INC.
November 20, 1996 - December 15, 1998
CREDIT SUISSE SECURITIES (USA) LLC
July 10, 1992 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
July 10, 1992 - May 9, 1995
LEHMAN GOVERNMENT SECURITIES INC.
July 10, 1992 - May 9, 1995
LEHMAN BROTHERS INC.
June 1, 1992 - June 29, 1992
CITICORP INVESTMENT SERVICES
December 24, 1985 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
March 15, 1982 - April 10, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 5
Date: 3/30/1983
Interest Rate Options ExaminationSeries 8
Date: 8/7/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BNP PARIBAS SECURITIES CORP.
CRD#: 15794 / SEC#: , 8-32682
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNP PARIBAS US WHOLESALE HOLDINGS, CORP | OWNER | |
| BONNAUD, JOE-KARIM | CEO | 7551817 |
| CASTILLO, SUSANNA BEATRIZ | BOARD MEMBER & CHIEF CONDUCT AND CONTROL OFFICER | 4992387 |
| FARRELL, MICHAEL F | CHIEF FINANCIAL OFFICER, FINOP | 2562352 |
| GAO, NICHOLAS N | GENERAL COUNSEL | 5140547 |
| HALPHEN, EMMANUEL | CHIEF OPERATIONS OFFICER | 5019981 |
| HAWLEY, ROBERT WILLIAM JR | CHAIRMAN | 828024 |
| HORTOPAN, NICOLAE SERBAN | BOARD DIRECTOR | 4789377 |
| LING, PETER | BOARD DIRECTOR | 2714915 |
| NIEBLING, JOHN C | CHIEF COMPLIANCE OFFICER | 4736313 |
| PLACIDO, JOSE | BOARD DIRECTOR | 7081415 |
| RAO, PHIROZE S | BOARD DIRECTOR | 7808745 |
| XHAYET, STEPHANE PATRICK | CHIEF OPERATING OFFICER | 5955712 |
Disclosures
| Regulatory Event | 99 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
