AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
EE

Erik C. Eaton

BNP PARIBAS SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 5067872
EE

Professional summary

Erik Christopher Eaton is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in New York, New York.

Erik is registered as a RR (Registered Representative) and started their career in finance in 2010. Erik has worked at 2 firms .

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erik Christopher Eaton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 26, 2018 - Present

BNP PARIBAS SECURITIES CORP.

Office #1: 787 7th Avenue, New York, NY 10019
BD
CRD#: 15794
New York, NY
Past

October 5, 2012 - May 24, 2018

BNP PARIBAS PRIME BROKERAGE, INC.

BD
CRD#: 24962
NEW YORK, NY
Past

August 2, 2010 - August 5, 2015

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

BP
BNP PARIBAS SECURITIES CORP.
BNP PARIBAS SECURITIES CORP. | PARIBAS CORPORATION | MST CORP.

CRD#: 15794 / SEC#: , 8-32682

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
787 Seventh Avenue, New York, NY 10019
Mailing Address
525 Washington Boulevard, Jersey City, NJ 07310
Phone number
(212) 841-2000
Established
Delaware since 09/07/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BNP PARIBAS US WHOLESALE HOLDINGS, CORPOWNER
BONNAUD, JOE-KARIMCEO7551817
CASTILLO, SUSANNA BEATRIZBOARD MEMBER & CHIEF CONDUCT AND CONTROL OFFICER4992387
FARRELL, MICHAEL FCHIEF FINANCIAL OFFICER, FINOP2562352
GAO, NICHOLAS NGENERAL COUNSEL5140547
HALPHEN, EMMANUELCHIEF OPERATIONS OFFICER5019981
HAWLEY, ROBERT WILLIAM JRCHAIRMAN828024
HORTOPAN, NICOLAE SERBANBOARD DIRECTOR4789377
LING, PETERBOARD DIRECTOR2714915
NIEBLING, JOHN CCHIEF COMPLIANCE OFFICER4736313
PLACIDO, JOSEBOARD DIRECTOR7081415
RAO, PHIROZE SBOARD DIRECTOR7808745
XHAYET, STEPHANE PATRICKCHIEF OPERATING OFFICER5955712

Disclosures

Regulatory Event99
Arbitration1
Bond1

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.

Company Information

BNP PARIBAS SECURITIES CORP.

CRD#: 15794New York, NY 10019

TRUST BUT VERIFY

Monitor Erik Eaton

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics