Alexandra M. Linden
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.
Alexandra Maria Linden was a registered financial professional .
Alexandra is a previously registered financial professional and started their career in finance in 1983. Alexandra had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2010 - December 1, 2015
BNP PARIBAS SECURITIES CORP.
August 2, 2002 - June 16, 2004
INTREPID SECURITIES, INC.
December 23, 1999 - June 5, 2000
GUARANTY BROKERAGE SERVICES, INC.
September 20, 1997 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
November 2, 1992 - November 30, 1995
MARKETING ONE SECURITIES, INC.
June 15, 1990 - June 12, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 13, 1988 - March 26, 1990
CAPITAL BROKERAGE CORPORATION
December 18, 1986 - March 10, 1988
MAGNA INVESTMENTS
January 25, 1984 - July 16, 1984
CAPITAL QUEST SECURITIES, INC.
November 16, 1983 - August 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 1983 - October 17, 1983
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
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.
