NS
Nancy E. Spiteri
BNP PARIBAS SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 2283782
NS
Professional summary
Nancy E Spiteri, who also goes by Nancy Elizabeth Broadbent, Nancy Elizabeth Spiteri, is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in New York, New York.
Nancy is registered as a RR (Registered Representative) and started their career in finance in 1992. Nancy has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nancy Elizabeth Broadbent | Nancy Elizabeth Spiteri
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nancy E Spiteri's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 30, 2020 - Present
BNP PARIBAS SECURITIES CORP.
Office #1: 787 7th Avenue, New York, NY 10019BD
CRD#: 15794
New York, NY
Past
September 30, 2016 - June 16, 2020
ING FINANCIAL MARKETS LLC
BD
CRD#: 28872
NEW YORK, NY
Past
June 1, 2010 - July 29, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
June 22, 1998 - April 29, 2008
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
June 5, 1997 - June 9, 1998
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
Past
November 9, 1992 - June 19, 1996
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/1/2020)
RR
Alaska(7/1/2020)
RR
Arizona(7/1/2020)
RR
Arkansas(7/1/2020)
RR
California(7/1/2020)
RR
Colorado(7/1/2020)
RR
Connecticut(7/1/2020)
RR
Delaware(7/1/2020)
RR
District of Columbia(7/1/2020)
RR
Florida(7/1/2020)
RR
Georgia(7/1/2020)
RR
Hawaii(7/1/2020)
RR
Idaho(7/1/2020)
RR
Illinois(7/1/2020)
RR
Indiana(7/1/2020)
RR
Iowa(7/1/2020)
RR
Kansas(7/1/2020)
RR
Kentucky(7/1/2020)
RR
Louisiana(7/1/2020)
RR
Maine(7/1/2020)
RR
Maryland(7/1/2020)
RR
Massachusetts(7/1/2020)
RR
Michigan(7/1/2020)
RR
Minnesota(7/1/2020)
RR
Mississippi(7/1/2020)
RR
Missouri(7/1/2020)
RR
Montana(7/1/2020)
RR
Nebraska(7/1/2020)
RR
Nevada(7/1/2020)
RR
New Hampshire(7/1/2020)
RR
New Jersey(7/1/2020)
RR
New Mexico(7/1/2020)
RR
New York(6/30/2020)
RR
North Carolina(7/1/2020)
RR
North Dakota(7/1/2020)
RR
Ohio(7/2/2020)
RR
Oklahoma(7/1/2020)
RR
Oregon(7/1/2020)
RR
Pennsylvania(7/1/2020)
RR
Puerto Rico(7/1/2020)
RR
Rhode Island(7/1/2020)
RR
South Carolina(7/1/2020)
RR
South Dakota(7/1/2020)
RR
Tennessee(7/1/2020)
RR
Texas(7/1/2020)
RR
Utah(7/1/2020)
RR
Vermont(7/1/2020)
RR
Virginia(7/1/2020)
RR
Washington(7/1/2020)
RR
West Virginia(7/1/2020)
RR
Wisconsin(7/1/2020)
RR
Wyoming(7/1/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BP
BNP PARIBAS SECURITIES CORP.
BNP PARIBAS SECURITIES CORP. | PARIBAS CORPORATION | MST CORP.
CRD#: 15794 / SEC#: , 8-32682
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 Seventh Avenue, New York, NY 10019
Mailing Address
525 Washington Boulevard, Jersey City, NJ 07310
Phone number
(212) 841-2000
Established
Delaware since 09/07/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
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.
