Patricia M. Sharp
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.
Patricia Mary Sharp, who also goes by Patty Sharp, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1989. Patricia had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 99, Series 31, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2015 - July 9, 2018
BNP PARIBAS PRIME BROKERAGE, INC.
October 22, 2015 - March 14, 2019
BNP PARIBAS SECURITIES CORP.
April 5, 2012 - May 20, 2013
MORGAN STANLEY
March 9, 2012 - May 20, 2013
MORGAN STANLEY
July 13, 2005 - January 11, 2006
EDGETRADE LLC
May 22, 2000 - June 6, 2005
B-TRADE SERVICES LLC
December 6, 1990 - December 13, 1994
E*TRADE CLEARING LLC
September 20, 1989 - March 3, 1992
J.P. MORGAN SECURITIES LLC
August 22, 1989 - September 29, 1989
UBS FINANCIAL SERVICES 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 55
Date: 6/20/2000
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
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.
