RM
Ramya Swati Metlapalli
BNP PARIBAS SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 6068491
RM
Professional summary
Ramya Swati Metlapalli, who also goes by Ramyaswati Metlapalli, Swati Rao, is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in New York, New York.
Ramya Swati is registered as a RR (Registered Representative) and started their career in finance in 2013. Ramya Swati has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ramyaswati Metlapalli | Swati Rao
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.
CRS (Client Relationship Summary) - BD
Click below to view Ramya Swati Metlapalli'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®
NoneExperience
Current
September 4, 2024 - Present
BNP PARIBAS SECURITIES CORP.
Office #1: 787 7th Avenue, New York, NY 10019BD
CRD#: 15794
New York, NY
Past
April 20, 2019 - August 20, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 17, 2016 - June 14, 2017
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
BOSTON, MA
Past
August 12, 2013 - October 12, 2016
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/14/2025)
RR
Alaska(8/14/2025)
RR
Arizona(8/14/2025)
RR
Arkansas(8/14/2025)
RR
California(8/14/2025)
RR
Colorado(8/14/2025)
RR
Connecticut(8/14/2025)
RR
Delaware(8/14/2025)
RR
District of Columbia(8/14/2025)
RR
Florida(8/14/2025)
RR
Georgia(8/14/2025)
RR
Hawaii(8/14/2025)
RR
Idaho(8/14/2025)
RR
Illinois(8/14/2025)
RR
Indiana(8/14/2025)
RR
Iowa(8/14/2025)
RR
Kansas(8/14/2025)
RR
Kentucky(8/14/2025)
RR
Louisiana(8/14/2025)
RR
Maine(8/14/2025)
RR
Maryland(8/14/2025)
RR
Massachusetts(8/14/2025)
RR
Michigan(8/14/2025)
RR
Minnesota(8/14/2025)
RR
Mississippi(8/14/2025)
RR
Missouri(8/14/2025)
RR
Montana(8/14/2025)
RR
Nebraska(8/14/2025)
RR
Nevada(8/14/2025)
RR
New Hampshire(8/14/2025)
RR
New Jersey(9/4/2024)
RR
New Mexico(8/14/2025)
RR
New York(9/4/2024)
RR
North Carolina(8/14/2025)
RR
North Dakota(8/14/2025)
RR
Ohio(8/15/2025)
RR
Oklahoma(8/14/2025)
RR
Oregon(8/14/2025)
RR
Pennsylvania(8/14/2025)
RR
Puerto Rico(8/14/2025)
RR
Rhode Island(8/14/2025)
RR
South Carolina(8/14/2025)
RR
South Dakota(8/14/2025)
RR
Tennessee(8/14/2025)
RR
Texas(8/14/2025)
RR
Utah(8/14/2025)
RR
Vermont(8/14/2025)
RR
Virginia(8/14/2025)
RR
Washington(8/14/2025)
RR
West Virginia(8/14/2025)
RR
Wisconsin(8/14/2025)
RR
Wyoming(8/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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.
