Thomas L. Dispaldo
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.
Thomas Louis Dispaldo was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 16, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 15, Series 14, Series 27, Series 24, Series 10, Series 9, 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
January 14, 2011 - November 12, 2015
BNP PARIBAS PRIME BROKERAGE, INC.
October 17, 2008 - October 4, 2010
BNP PARIBAS PRIME BROKERAGE, INC.
January 1, 2005 - December 7, 2020
BNP PARIBAS SECURITIES CORP.
May 10, 2001 - January 1, 2005
BNP PARIBAS BROKERAGE SERVICES, INC.
January 10, 2000 - February 9, 2001
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
July 2, 1998 - May 9, 2001
NEWEDGE FINANCIAL INC.
January 18, 1996 - June 24, 1998
BNP PARIBAS BROKERAGE SERVICES, INC.
July 10, 1995 - July 26, 1995
GLOBAL PARTNERS SECURITIES INC.
July 30, 1987 - July 12, 1995
CHASE FUTURES & OPTIONS, INC.
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 7TO
Date: 10/28/2022
General Securities Representative ExaminationSeries 79TO
Date: 10/28/2022
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 10/28/2022
Operations Professional ExaminationSeries 57TO
Date: 10/28/2022
Securities Trader ExamSeries 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 2/19/1986
Foreign Currency Options ExaminationSeries 8
Date: 2/13/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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
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.
