Howard W. Lutnick
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.
Howard William Lutnick was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1984. Howard had worked at 14 firms and has passed the Series 63, Series 79TO, Series 62, Series 72, Series 99TO, SIE, Series 5, Series 3, Series 7 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
August 19, 2020 - July 1, 2021
SUNRISE BROKERS LLC
August 19, 2020 - March 11, 2025
NEWMARK SECURITIES, LLC
August 19, 2020 - March 11, 2025
MINT BROKERS
August 19, 2020 - March 11, 2025
GFI SECURITIES LLC
August 19, 2020 - March 11, 2025
BGC FINANCIAL, L.P.
August 17, 2020 - March 11, 2025
FMX EXECUTION, LLC
May 16, 2017 - March 11, 2025
CF SECURED, LLC
February 20, 2004 - October 1, 2004
CASTLEOAK SECURITIES, LP
December 14, 1999 - November 26, 2008
ESPEED BROKERAGE, L.P.
December 14, 1999 - September 22, 2022
AQUA SECURITIES L.P.
July 22, 1992 - January 21, 1994
CANTOR FITZGERALD SHOKEN KAISHA LIMITED
March 5, 1991 - August 12, 1998
CANTOR FITZGERALD, G.P.
February 14, 1991 - February 22, 2005
MINT BROKERS
October 10, 1990 - October 13, 2006
CANTOR FITZGERALD SECURITIES
September 9, 1988 - September 13, 1990
CANTOR FITZGERALD SECURITIES
February 14, 1984 - March 11, 2025
CANTOR FITZGERALD & CO.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 9/15/1988
Interest Rate Options ExaminationCurrent Firm
SUNRISE BROKERS LLC
CRD#: 151012 / SEC#: , 8-68325
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SBL SUNRISE BROKERS LIMITED | MEMBER | |
| BGC PARTNERS, L.P. | MANAGING MEMBER | |
| AUBIN, JEAN PIERRE | CHIEF EXECUTIVE OFFICER | 5596046 |
| BISGAY, STEVEN | CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4424156 |
| IATAURO, KRISTI LYNN | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 4280146 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER & SECRETARY | 2380166 |
Red Flags
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