Carol A. Lundrigan
Professional summary
Carol Ann Lundrigan, who also goes by Carol Ann Trischan, is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in Jersey City, New Jersey.
Carol is registered as a RR (Registered Representative) and started their career in finance in 1994. Carol has worked at 4 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Ann Lundrigan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2018 - Present
BNP PARIBAS SECURITIES CORP.
Office #1: 525 Washington Boulevard - 6th Floor, Jersey City, NJ 07310October 5, 2012 - May 24, 2018
BNP PARIBAS PRIME BROKERAGE, INC.
March 8, 2010 - August 5, 2015
BNP PARIBAS SECURITIES CORP.
November 3, 1997 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
May 16, 1994 - October 22, 1997
SHELBY CULLOM DAVIS & CO., L.P.
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 99TO
Date: 3/13/2020
Operations Professional ExaminationFINRA
NYSE American LLC
New York Stock Exchange
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
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