Mark Anastasi
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.
Mark Anastasi, who also goes by Mark S Anastasi, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 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
November 15, 2022 - October 21, 2025
BNP PARIBAS SECURITIES CORP.
May 4, 2020 - November 8, 2022
ROTH CAPITAL PARTNERS, LLC
March 14, 2016 - May 26, 2020
TELSEY ADVISORY GROUP LLC
July 28, 2014 - March 14, 2016
CANACCORD GENUITY LLC
September 19, 2011 - May 19, 2014
BTIG, LLC
March 29, 2010 - August 2, 2011
CANTOR FITZGERALD & CO.
June 9, 2008 - March 26, 2010
OPPENHEIMER & CO. INC.
April 18, 2005 - July 11, 2008
J.P. MORGAN SECURITIES LLC
May 23, 2000 - April 15, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 1994 - May 9, 2000
JPMSI
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/22/1999
Limited Representative-Equity Trader ExamCurrent 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.
