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Kathleen Ann Cooney

BNP Paribas Securities Corp.

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About Kathleen Ann Cooney

Kathleen Cooney is a financial professional with over 30 years of experience in the financial services industry. Kathleen is currently registered with BNP Paribas Securities Corp. and has previously held positions at J.P. Morgan Securities Inc., Chase Securities Inc., Barclays de Zoete Wedd Securities Inc., County Natwest International Limited, County Natwest Government Securities, Inc., and Prudential-Bache Securities Inc. Kathleen holds the Series 3, Series 7, and Series 63 licenses and the SIE exam.

Firm Information

Kathleen Cooney is currently registered with BNP Paribas Securities Corp.. BNP Paribas Securities Corp. is a Corporation formed on September 7, 1984, and is registered to provide financial services in all 50 U.S. states, the District of Columbia, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

276

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Kathleen Cooney’s Registration & Firm History

NY

05/21/2001 - Present

BNP Paribas Securities Corp. (NEW YORK NY)

NY

06/08/1994 - 02/14/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

01/11/2001 - 02/13/2001

CHASE SECURITIES INC. (NEW YORK NY)

NY

12/14/1989 - 04/13/1994

BARCLAYS DE ZOETE WEDD SECURITIES INC. (NEW YORK NY)

NY

10/20/1987 - 05/30/1989

COUNTY NATWEST INTERNATIONAL LIMITED (NEW YORK NY)

NA

10/19/1987 - 05/30/1989

COUNTY NATWEST GOVERNMENT SECURITIES, INC.

NA

12/23/1986 - 10/10/1987

PRUDENTIAL-BACHE SECURITIES INC.

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Licenses & Designations

BC

Issued 09/14/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/20/1986

Series 7 - General Securities Representative Examination

BC

Issued 09/03/1986

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kathleen Ann Cooney.
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