Jonathan P. Muir
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.
Jonathan Peter Muir was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1993. Jonathan had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2013 - February 8, 2018
BNP PARIBAS SECURITIES CORP.
November 14, 2012 - February 8, 2018
BNP PARIBAS PRIME BROKERAGE, INC.
August 19, 2008 - November 14, 2012
BNP PARIBAS PRIME BROKERAGE, INC.
May 31, 2006 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
May 20, 2005 - June 1, 2006
WELLS FARGO PRIME SERVICES, LLC
May 31, 2001 - April 28, 2005
DEUTSCHE BANK SECURITIES INC.
November 19, 1997 - June 4, 2001
BANC OF AMERICA SECURITIES LLC
June 20, 1995 - November 11, 1997
PERSHING LLC
May 27, 1993 - June 27, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 1993 - April 26, 1993
FINANCIAL NORTHEASTERN SECURITIES, 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
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.
