E. R. Zellweger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
E. R. Zellweger JR, who also goes by Ernest R J Zellweger Jr, Ernest Richard Zellweger Jr, Rick Zellweger, was a registered financial professional .
E. is a previously registered financial professional and started their career in finance in 1978. E. had worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2006 - February 10, 2021
BNP PARIBAS SECURITIES CORP.
August 16, 2004 - August 28, 2006
ABN AMRO INCORPORATED
February 6, 2001 - July 8, 2004
BANC ONE CAPITAL MARKETS, INC.
April 1, 1996 - January 18, 2001
J.P. MORGAN SECURITIES INC.
September 26, 1994 - April 1, 1996
CHASE SECURITIES, INC.
November 25, 1992 - August 10, 1994
UBS FINANCIAL SERVICES INC.
March 31, 1988 - February 20, 1992
UBS SECURITIES LLC
June 1, 1984 - January 19, 1987
UBS FINANCIAL SERVICES INC.
June 23, 1981 - June 1, 1984
BLYTH EASTMAN PAINE WEBBER INCORPORATED
May 19, 1978 - August 11, 1978
KIDDER, PEABODY & CO. INCORPORATED
January 12, 1978 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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.
