Stephen Leaker
Professional Summary
Stephen Leaker is a registered financial advisor currently at BNP PARIBAS SECURITIES CORP. located in Chicago, Illinois. Stephen is registered as a RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 1 firm and has passed the Series 63, SIE, Series 79 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
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
18 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
(9/19/2014)
(10/20/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Apr 2014About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Leaker's CRS (Customer Relationship Summary).
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