Nicole M. Dale
Professional summary
Nicole Marie Dale, who also goes by Nicole Marie Dandeneau, Nicole Dandeneau, is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in New York, New York.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicole has worked at 7 firms and has passed the SIE, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicole Marie Dale's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2025 - Present
BNP PARIBAS SECURITIES CORP.
Office #1: 787 7th Avenue, New York, NY 10019April 30, 2024 - September 10, 2025
CANACCORD GENUITY LLC
September 6, 2023 - May 17, 2024
WOLFE RESEARCH SECURITIES
October 26, 2016 - December 20, 2022
BERENBERG CAPITAL MARKETS LLC
January 20, 2012 - October 14, 2016
GUGGENHEIM SECURITIES, LLC
September 14, 2010 - January 12, 2012
WJB CAPITAL GROUP, INC.
November 3, 2006 - September 9, 2010
NATIXIS SECURITIES AMERICAS 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
24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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
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