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JM

Jess E. Mogul

Some features on this profile are disabled
CRD#: 1699690
JM

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.

Jess Ethan Mogul was a registered financial professional .

Jess is a previously registered financial professional and started their career in finance in 1988. Jess had worked at 11 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 17, 2013 - March 7, 2014

AQUA SECURITIES L.P.

BD
CRD#: 47681
NEW YORK, NY
Past

April 19, 2011 - July 9, 2013

PRAGMA LLC

BD
CRD#: 136453
NEW YORK, NY
Past

April 21, 2008 - April 23, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

April 16, 2008 - April 22, 2010

MULTITRADE SECURITIES LLC

BD
CRD#: 47485
NEW YORK, NY
Past

February 6, 2006 - December 13, 2007

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 3, 2003 - January 11, 2005

VIRTU ITG LLC

BD
CRD#: 29299
NEW YORK, NY
Past

December 12, 2002 - August 26, 2003

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY
Past

August 1, 2000 - April 19, 2002

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

April 26, 1990 - August 1, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

January 30, 1989 - January 24, 1990

FLEET BROKERAGE SECURITIES, INC.

BD
CRD#: 7313
NEW YORK, NY
Past

April 19, 1988 - February 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/4/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 2/28/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/24/1997
General Securities Principal Examination

Current Firm

AS
AQUA SECURITIES L.P.
AQUA SECURITIES L.P. | ESPEED SECURITIES, INC. | CANTOR FITZGERALD ELECTRONIC COMMERCE, INC.

CRD#: 47681 / SEC#: , 8-51866

BD
Terminated by SEC on 11/18/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/10/2007
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CANTOR FITZGERALD SECURITIESLIMITED PARTNER
BGC PARTNERS, L.P.LIMITED PARTNER
AQUA SECURITIES HOLDINGS LLCMAMAGING PARTNER
BOEHMKE, BENJAMIN PATRICKCHIEF COMPLIANCE OFFICER4923172
PAULSON, KENNETH MICHAELCHIEF FINANCIAL OFFICER2862259

Disclosures

Regulatory Event1

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.

Company Information

AQUA SECURITIES L.P.

CRD#: 47681

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