Gerard M. Phelan
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.
Gerard Martin Phelan was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1985. Gerard had worked at 9 firms and has passed the Series 63, Series 65, SIE, 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 10, 2007 - May 1, 2008
MINT BROKERS
August 10, 2007 - August 19, 2019
BGC FINANCIAL, L.P.
August 1, 2006 - August 10, 2007
CANTOR FITZGERALD & CO.
August 10, 2004 - August 1, 2006
CANTOR FITZGERALD SECURITIES
November 4, 1998 - April 6, 1999
IIG HORIZONS SECURITIES, LLC
January 30, 1996 - May 1, 1998
BNP PARIBAS SECURITIES CORP.
May 4, 1989 - January 29, 1996
J.P. MORGAN SECURITIES LLC
April 29, 1987 - February 7, 1989
ALEX. BROWN & SONS INCORPORATED
July 5, 1985 - January 30, 1987
RICKEL & ASSOCIATES, INC.
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
MINT BROKERS
CRD#: 13681 / SEC#: , 8-29616
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MINT BROKERS HOLDINGS I, LLC | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICE | 5612726 |
| MINT BROKERS HOLDING II, LLC | GENERAL PARTNER | |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 2 |
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.
