George A. Nunn
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.
George Alvaro Nunn was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1996. George had worked at 5 firms and has passed the Series 63, Series 17, Series 57TO, Series 79TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2015 - July 19, 2018
BNP PARIBAS PRIME BROKERAGE, INC.
May 8, 2007 - January 10, 2023
BNP PARIBAS SECURITIES CORP.
August 10, 2004 - December 19, 2006
HSBC SECURITIES (USA) INC.
October 16, 2000 - July 26, 2004
CREDIT SUISSE SECURITIES (USA) LLC
February 24, 2000 - October 16, 2000
PERSHING LLC
November 12, 1996 - February 18, 2000
BNP PARIBAS SECURITIES CORP.
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 17
Date: 1/2/2023
Limited Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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.
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