Brian A. Kape
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.
Brian Andrew Kape was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1985. Brian had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 27, Series 53, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2013 - May 18, 2015
BNP PARIBAS SECURITIES CORP.
October 15, 2013 - May 18, 2015
BNP PARIBAS PRIME BROKERAGE, INC.
July 30, 2008 - April 3, 2012
APEX CLEARING CORPORATION
September 19, 2005 - November 21, 2006
PERSHING ADVISOR SOLUTIONS LLC
October 2, 2002 - September 19, 2005
PERSHING LLC
July 11, 2001 - September 27, 2002
HAPOALIM SECURITIES USA, INC.
October 5, 1999 - July 2, 2001
BULL & BEAR SECURITIES, INC.
October 4, 1996 - October 14, 1998
FURTHER LANE SECURITIES, L.P.
January 15, 1994 - May 3, 1996
NEBRASKA HUDSON COMPANY, INC.
October 26, 1993 - January 4, 1994
PERSHING LLC
January 31, 1992 - October 5, 1993
MERIDIAN SECURITIES, INC.
November 24, 1989 - December 19, 1991
SOVRAN INVESTMENT CORPORATION
August 20, 1985 - November 7, 1989
PERSHING LLC
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 8
Date: 7/27/1987
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.
