PP
Paul M. Pion
CANTOR FITZGERALD & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 4598758
PP
Professional summary
Paul Marc Pion is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York and BGC FINANCIAL, L.P. located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2005. Paul has worked at 7 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Paul Marc Pion'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
August 1, 2006 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4th Floor, New York, NY, 10022BD
CRD#: 134
New York, NY
Current
October 23, 2006 - Present
BGC FINANCIAL, L.P.
Office #1: 55 Water Street 10th Floor, New York, NY, 10004BD
CRD#: 19801
NEW YORK, NY
Past
March 9, 2020 - November 20, 2020
CASTLEOAK SECURITIES, LP
BD
CRD#: 125334
NEW YORK, NY
Past
October 23, 2006 - November 26, 2008
ESPEED BROKERAGE, L.P.
BD
CRD#: 47968
NEW YORK, NY
Past
October 23, 2006 - November 26, 2008
MINT BROKERS
BD
CRD#: 13681
NEW YORK, NY
Past
October 23, 2006 - September 19, 2022
AQUA SECURITIES L.P.
BD
CRD#: 47681
NEW YORK, NY
Past
March 3, 2005 - August 1, 2006
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BF
BGC FINANCIAL, L.P.
AUREL, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE BROKERS, A DIVISION OF BGC FINANCIAL LP | PRECISION, A DIVISION OF BGC FINANCIAL, L.P. | POTEN CAPITAL, A DIVISION OF BGC FINANCIAL, L.P. | MINT PARTNERS, A DIVISION OF BGC FINANCIAL, L.P. | MAXCOR FINANCIAL INC. | MAXCOR (DIVISION OF EURO BROKERS INC.) | MAXCOR | FENICS, A DIVISION OF BGC FINANCIAL, L.P. | FENICS UST, A DIVISION OF BGC FINANCIAL, L.P. | FENICS US TREASURIES, A DIVISION OF BGC FINANCIAL, L.P. | FENICS GO US, A DIVISION OF BGC FINANCIAL, L.P | EUROBROKERS, A DIVISION OF BGC FINANCIAL, L.P. | EURO BROKERS, A DIVISION OF MAXCOR FINANCIAL INC. | EURO BROKERS MAXCOR INC. | BGC RV | BGC RELATIVE VALUE, A DIVISION OF BGC FINANCIAL, L.P. | BGC LIQUIDEZ, A DIVISION OF BGC FINANCIAL, L.P. | BGC LAKE, A DIVISION OF BGC FINANCIAL, L.P. | BGC FINANCIAL, L.P. | BGC FINANCIAL INC.
CRD#: 19801 / SEC#: , 8-39012
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
55 Water Street 10th Floor, New York, NY, 10004
Mailing Address
55 Water Street 10th Floor, New York, NY, 10041
Phone number
(646) 346-7000
Established
Delaware since 04/02/2008
Firm type
Partnership
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
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.
