James P. Doohan
Professional summary
James Patrick Doohan, who also goes by James Doohan, is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in Chesterbrook, Pennsylvania.
James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 11 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Doohan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 11, 2022 - Present
BNP PARIBAS SECURITIES CORP.
Office #1: 735 Chesterbrook Blvd, Chesterbrook, PA 19087August 6, 2019 - May 27, 2020
CFWP SECURITIES, LLC
August 6, 2019 - November 20, 2020
CASTLEOAK SECURITIES, LP
August 6, 2019 - July 1, 2021
SUNRISE BROKERS LLC
August 6, 2019 - January 18, 2022
MINT BROKERS
August 6, 2019 - January 18, 2022
GFI SECURITIES LLC
August 6, 2019 - January 18, 2022
FMX EXECUTION, LLC
August 6, 2019 - January 18, 2022
CF SECURED, LLC
August 6, 2019 - January 18, 2022
BGC FINANCIAL, L.P.
August 6, 2019 - January 18, 2022
AQUA SECURITIES L.P.
February 8, 2018 - January 18, 2022
CANTOR FITZGERALD & CO.
July 18, 2011 - February 6, 2018
BNP PARIBAS SECURITIES CORP.
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 Examination24X 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
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.
