Sharon L. Casey
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.
Sharon Lee Casey, who also goes by Sharon L Casey, Sharon L Casey, Sharon Lee Casey, Sharon Casey, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1995. Sharon had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 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 8, 2023 - November 8, 2024
BNP PARIBAS SECURITIES CORP.
May 10, 2019 - March 20, 2023
BOFA SECURITIES, INC.
August 7, 2018 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2015 - June 7, 2018
UBS SECURITIES LLC
May 31, 2005 - August 17, 2015
BARCLAYS CAPITAL INC.
December 10, 1999 - May 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 1995 - August 28, 1999
DB ALEX. BROWN LLC
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.
