Douglas J. Episcopio
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.
Douglas Joseph Episcopio, who also goes by Douglas J Episcopio, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2001. Douglas had worked at 8 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2020 - May 12, 2021
NATIXIS SECURITIES AMERICAS LLC
August 16, 2016 - October 3, 2018
SAFRA SECURITIES LLC
December 3, 2012 - June 29, 2016
CRT CAPITAL GROUP LLC
February 21, 2012 - March 19, 2012
BMO NESBITT BURNS TRADING CORP. S.A.
May 7, 2008 - March 14, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
November 1, 2003 - June 8, 2012
BMO CAPITAL MARKETS CORP.
May 15, 2003 - November 1, 2003
HARRIS NESBITT CORP.
June 1, 2001 - April 1, 2003
ING FINANCIAL MARKETS 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NATIXIS SECURITIES AMERICAS LLC
CRD#: 1101 / SEC#: 801-72849, 8-719
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BRIGGS, DANIEL CRAIG | PRINCIPAL OPERATIONS OFFICER | 1250311 |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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