Ajay K. Sharma
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.
Ajay K Sharma, who also goes by Ajay Kumar Sharma, was a registered financial professional .
Ajay is a previously registered financial professional and started their career in finance in 1990. Ajay had worked at 9 firms and has passed the SIE, Series 99 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2014 - November 14, 2019
BNP PARIBAS SECURITIES CORP.
August 13, 1997 - February 16, 2005
J.P. MORGAN SECURITIES INC.
February 18, 1997 - April 24, 1997
NATWEST SECURITIES CORPORATION
March 21, 1994 - January 6, 1997
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
May 22, 1991 - July 23, 1991
FUNDAMENTAL BROKERS
February 28, 1991 - April 23, 1991
FUNDAMENTAL BROKERS
February 28, 1991 - July 19, 1991
FUNDAMENTAL CORPORATE BOND BROKERS
July 24, 1990 - August 2, 1990
FUNDAMENTAL BROKERS INTERNATIONAL INC.
July 19, 1990 - February 28, 1991
FUNDAMENTAL CORPORATE BOND BROKERS, INC.
June 5, 1990 - February 28, 1991
FUNDAMENTAL BROKERS
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.
