Michael C. Gumbel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Clair Gumbel was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 3 firms and has passed the Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2006 - April 23, 2007
HORATIO CAPITAL LLC
July 24, 2006 - May 18, 2011
LUPO SECURITIES, LLC
August 23, 2004 - March 11, 2005
ADVANTAGE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HORATIO CAPITAL LLC
CRD#: 132142 / SEC#: , 8-66558
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARTLETT, BRUCE ROBERT | MEMBER | |
| FOREST INVESTMENT PARTNERSHIP, LP | MEMBER | |
| TROOB, ANDREW SPENCER | MEMBER | |
| AZZ INC MONEY PURCHASE PENSION PLAN | MEMBER | |
| FERGUSON, MERRILL JAMES | MEMBER | |
| NINYO, AVRAM | MEMBER | |
| WOLFSON, JEFFREY ALAN | MEMBER | 1680997 |
| GUMBEL, MICHAEL CLAIR | MEMBER | |
| KAPLAN, STEVEN ARTHUR | FINOP | 5251885 |
| SALLERSON, SAMUEL IRA | MEMBER | |
| STW MANAGEMENT, LLC | MANAGER |
Red Flags
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