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Maria L. Minguez

THIRD SEVEN CAPITAL LLC
Wall, NJ 07719
Some features on this profile are disabled
CRD#: 1919807
MM

Professional summary

Maria Lopresti Minguez, who also goes by Maria Lopresti, Maria Minguez, is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Wall, New Jersey.

Maria is registered as a RR (Registered Representative) and started their career in finance in 1994. Maria has worked at 14 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, SIE, Series 87, Series 55, Series 7, Series 14, Series 27, Series 53, Series 4, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maria Lopresti | Maria Minguez

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) - BD

Click below to view Maria Lopresti Minguez's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

July 9, 2023 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 3349a State Route 138 Allaire Corporate Center Building A, Suite A, Seco, Wall, NJ 07719
BD
CRD#: 160209
Wall, NJ
Past

November 30, 2023 - May 31, 2024

FENNEL

BD
CRD#: 316281
NEW YORK, NY
Past

May 10, 2023 - September 12, 2024

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

March 16, 2022 - December 14, 2022

DEALMAKER SECURITIES

BD
CRD#: 315324
Toronto,
Past

March 3, 2016 - November 15, 2021

ZANBATO SECURITIES LLC

BD
CRD#: 279028
New York, NY
Past

June 7, 2011 - May 9, 2012

DEXIA SECURITIES USA LLC

BD
CRD#: 145824
NEW YORK, NY
Past

April 20, 2009 - May 31, 2011

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
NEW YORK, NY
Past

August 1, 2005 - April 15, 2009

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
NEW YORK, NY
Past

March 31, 2004 - July 12, 2005

INDEPENDENT RESEARCH GROUP LLC

BD
CRD#: 124432
NEW YORK, NY
Past

July 26, 2002 - May 3, 2004

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
LONDON,
Past

March 10, 2000 - April 7, 2004

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

July 28, 1998 - February 8, 2000

NEW TIMES SECURITIES SERVICES, INC.

BD
CRD#: 34154
MELVILLE, NY
Past

June 28, 1995 - June 22, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 13, 1994 - May 11, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(4/16/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/23/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/28/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 7/15/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 7/25/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/12/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/27/2021
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/1/2000
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/12/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/22/1995
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

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

THIRD SEVEN CAPITAL LLC

CRD#: 160209Wall, NJ 07719

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