ED
Etienne V. Daubas
NATIXIS SECURITIES AMERICAS LLC
NEW YORK, NY 10020
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CRD#: 7450999
ED
Professional summary
Etienne Valentin Daubas, who also goes by Etienne Daubas, is a registered financial professional currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York.
Etienne is registered as a RR (Registered Representative) and started their career in finance in 2021. Etienne has worked at 1 firm and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Etienne Daubas
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 Etienne Valentin Daubas'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
December 17, 2021 - Present
NATIXIS SECURITIES AMERICAS LLC
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 1101
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(1/14/2022)
RR
Alaska(1/14/2022)
RR
Arizona(1/14/2022)
RR
Arkansas(1/14/2022)
RR
California(1/14/2022)
RR
Colorado(12/17/2021)
RR
Connecticut(1/14/2022)
RR
Delaware(1/14/2022)
RR
District of Columbia(12/17/2021)
RR
Florida(12/17/2021)
RR
Georgia(1/14/2022)
RR
Hawaii(1/14/2022)
RR
Idaho(1/14/2022)
RR
Illinois(1/14/2022)
RR
Indiana(1/14/2022)
RR
Iowa(1/14/2022)
RR
Kansas(1/14/2022)
RR
Kentucky(1/14/2022)
RR
Louisiana(12/17/2021)
RR
Maine(1/14/2022)
RR
Maryland(12/17/2021)
RR
Massachusetts(1/14/2022)
RR
Michigan(1/14/2022)
RR
Minnesota(1/14/2022)
RR
Mississippi(1/14/2022)
RR
Missouri(1/14/2022)
RR
Montana(1/14/2022)
RR
Nebraska(1/14/2022)
RR
Nevada(1/14/2022)
RR
New Hampshire(1/14/2022)
RR
New Jersey(1/14/2022)
RR
New Mexico(1/14/2022)
RR
New York(1/14/2022)
RR
North Carolina(1/14/2022)
RR
North Dakota(1/14/2022)
RR
Ohio(1/18/2022)
RR
Oklahoma(1/14/2022)
RR
Oregon(1/14/2022)
RR
Pennsylvania(1/14/2022)
RR
Rhode Island(1/14/2022)
RR
South Carolina(1/14/2022)
RR
South Dakota(1/14/2022)
RR
Tennessee(1/14/2022)
RR
Texas(1/14/2022)
RR
Utah(1/14/2022)
RR
Vermont(1/14/2022)
RR
Virginia(1/14/2022)
RR
Washington(1/14/2022)
RR
West Virginia(1/14/2022)
RR
Wisconsin(1/14/2022)
RR
Wyoming(1/14/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 2/7/2022
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 12/17/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NATIXIS SECURITIES AMERICAS LLC
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.
CRD#: 1101 / SEC#: 801-72849, 8-719
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020
Phone number
(212) 872-5000
Established
Delaware since 11/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BRIGGS, DANIEL CRAIG | PRINCIPAL OPERATIONS OFFICER | 1250311 |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
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.
