MB
Michael S. Brock
BNP PARIBAS SECURITIES
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 4430478
MB
Professional summary
Michael Stuart Brock, who also goes by Michael Brock, is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in San Francisco, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Brock
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael Stuart Brock's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 27, 2024 - Present
BNP PARIBAS SECURITIES CORP.
Office #1: 475 Sansome Street, Suite 1100, San Francisco, CA 94111BD
CRD#: 15794
San Francisco, CA
Past
May 16, 2022 - December 12, 2023
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN FRANCISCO, CA
Past
November 7, 2011 - April 20, 2021
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
SAN FRANCISCO, CA
Past
November 1, 2010 - August 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
June 1, 2004 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
SAN FRANCISCO, CA
Past
October 12, 2001 - May 18, 2004
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/8/2024)
RR
Alaska(7/8/2024)
RR
Arizona(7/8/2024)
RR
Arkansas(7/8/2024)
RR
California(6/27/2024)
RR
Colorado(7/8/2024)
RR
Connecticut(7/8/2024)
RR
Delaware(7/8/2024)
RR
District of Columbia(7/8/2024)
RR
Florida(7/8/2024)
RR
Georgia(7/8/2024)
RR
Hawaii(7/8/2024)
RR
Idaho(7/8/2024)
RR
Illinois(7/8/2024)
RR
Indiana(7/8/2024)
RR
Iowa(7/8/2024)
RR
Kansas(7/8/2024)
RR
Kentucky(7/8/2024)
RR
Louisiana(7/8/2024)
RR
Maine(7/8/2024)
RR
Maryland(7/8/2024)
RR
Massachusetts(7/8/2024)
RR
Michigan(7/8/2024)
RR
Minnesota(7/8/2024)
RR
Mississippi(7/8/2024)
RR
Missouri(7/8/2024)
RR
Montana(7/8/2024)
RR
Nebraska(7/8/2024)
RR
Nevada(7/8/2024)
RR
New Hampshire(7/8/2024)
RR
New Jersey(7/8/2024)
RR
New Mexico(7/8/2024)
RR
New York(6/27/2024)
RR
North Carolina(7/8/2024)
RR
North Dakota(7/8/2024)
RR
Ohio(7/8/2024)
RR
Oklahoma(7/8/2024)
RR
Oregon(7/8/2024)
RR
Pennsylvania(7/8/2024)
RR
Puerto Rico(7/8/2024)
RR
Rhode Island(7/8/2024)
RR
South Carolina(7/8/2024)
RR
South Dakota(7/8/2024)
RR
Tennessee(7/8/2024)
RR
Texas(7/8/2024)
RR
Utah(7/8/2024)
RR
Vermont(7/8/2024)
RR
Virginia(7/8/2024)
RR
Washington(7/8/2024)
RR
West Virginia(7/8/2024)
RR
Wisconsin(7/8/2024)
RR
Wyoming(7/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 6/27/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BP
BNP PARIBAS SECURITIES CORP.
BNP PARIBAS SECURITIES CORP. | PARIBAS CORPORATION | MST CORP.
CRD#: 15794 / SEC#: , 8-32682
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 Seventh Avenue, New York, NY 10019
Mailing Address
525 Washington Boulevard, Jersey City, NJ 07310
Phone number
(212) 841-2000
Established
Delaware since 09/07/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
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.
