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RM

Regis X. Martin

BNP PARIBAS SECURITIES
Chesterbrook, PA 19087
Some features on this profile are disabled
CRD#: 6297894
RM

Professional summary

Regis Xavier Martin, who also goes by Regis Martin, is a registered financial professional currently at BNP PARIBAS SECURITIES CORP. located in Chesterbrook, Pennsylvania.

Regis is registered as a RR (Registered Representative) and started their career in finance in 2015. Regis has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Regis Martin

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 Regis Xavier Martin'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

February 19, 2015 - Present

BNP PARIBAS SECURITIES CORP.

Office #1: 735 Chesterbrook Blvd, Chesterbrook, PA 19087
BD
CRD#: 15794
Chesterbrook, PA
Past

February 19, 2015 - July 9, 2018

BNP PARIBAS PRIME BROKERAGE, INC.

BD
CRD#: 24962
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 2/19/2015
Operations Professional Examination
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)
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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

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Company Information

BNP PARIBAS SECURITIES CORP.

CRD#: 15794Chesterbrook, PA 19087

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