Joseph M. Jogmen
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.
Joseph Michael Jogmen was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 16 firms and has passed the Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2010 - March 7, 2013
SPHINX TRADING, LP
October 26, 2010 - April 1, 2011
EQUITEC STRUCTURED PRODUCTS,LLC
October 26, 2010 - March 7, 2013
EQUITEC TRADING, LLC
August 20, 2010 - November 30, 2010
AK CAPITAL, LLC
March 8, 2007 - October 14, 2010
COMPASS PROFESSIONAL SERVICES EAST, LLC
January 3, 2007 - July 26, 2007
EQUITEC NEW YORK, LLC
April 27, 2006 - March 7, 2013
EQUITEC PROPRIETARY MARKETS, LLC
September 1, 2005 - February 28, 2013
EQUITEC SPECIALISTS, LLC
July 1, 2005 - March 7, 2013
RQD* CLEARING, LLC
June 18, 2002 - November 26, 2007
CASTLEWOOD SECURITIES, L.L.C.
February 16, 2000 - August 11, 2000
PETCO TRADING LLC
December 2, 1999 - August 11, 2000
PETERS SECURITIES CO., LP
November 12, 1998 - May 28, 1999
THE CONCORD EQUITY GROUP, LLC
November 11, 1997 - January 23, 1998
KNIGHT CAPITAL MARKETS LLC
July 9, 1993 - May 21, 1998
TRADETECH SECURITIES L.P.
April 3, 1990 - August 11, 1993
KESSLER ASHER CLEARING L.P.
June 18, 1987 - August 11, 1993
KESSLER ASHER CLEARING L.P.
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
SPHINX TRADING, LP
CRD#: 33019 / SEC#: , 8-42017
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KUEHNER, CHRISTOPHER JOSEPH | CHIEF COMPLIANCE OFFICER | 2337409 |
Disclosures
| Regulatory Event | 3 |
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.
