James Patrick Doohan
Professional Summary
James Patrick Doohan, who also goes by James Doohan, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Doohan
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Contact Information
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
BNP PARIBAS SECURITIES CORP. | PARIBAS CORPORATION | MST CORP.
Contact Information
Main Address
787 Seventh Avenue, New York, NY 10019Mailing Address
525 Washington Boulevard, Jersey City, NJ 07310Phone Number
(212) 841-2000Established
Delaware since 09/07/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNP PARIBAS US WHOLESALE HOLDINGS, CORP | OWNER | — |
| AUBERT DE TREGOMAIN, ARNAUD | CHIEF EXECUTIVE OFFICER | 8204411 |
| CASTILLO, SUSANNA BEATRIZ | BOARD MEMBER | 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 | CHIEF CONDUCT AND CONTROL OFFICER | 4789377 |
| LE POTTIER, SYLVIE ERNESTINE MARIE | DIRECTOR OF BOARD | 8208257 |
| 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
100Arbitration
1Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - BD
Click below to view James Patrick Doohan's CRS (Customer Relationship Summary).
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