Erin M. Brown
Professional summary
Erin M Brown, who also goes by Erin Miles Brown, is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in New York, New York.
Erin is registered as a RR (Registered Representative) and started their career in finance in 2005. Erin has worked at 2 firms and has passed the Series 63, Series 66, SIE, Series 79TO, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erin M Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 17, 2023 - Present
BNP PARIBAS SECURITIES CORP.
Office #1: 787 7th Avenue, New York, NY 10019July 20, 2006 - October 3, 2017
BNP PARIBAS SECURITIES CORP.
November 3, 2005 - July 24, 2006
UBS FINANCIAL SERVICES INC.
September 26, 2005 - July 24, 2006
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/17/2023)
Exams
Series 79TO
Date: 10/4/2023
Investment Banking Registered Representative ExaminationFINRA
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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