Michael A. Pascale
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.
Michael Anthony Pascale was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, 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
January 23, 2013 - March 29, 2021
MINT BROKERS
October 5, 2012 - March 29, 2021
BGC FINANCIAL, L.P.
March 3, 2008 - July 30, 2012
MOMENTUM TRADING PARTNERS, LLC
June 19, 2003 - February 19, 2008
OSCAR GRUSS & SON INCORPORATED
July 10, 2000 - March 28, 2003
INET ATS, INC.
November 8, 1996 - April 3, 2000
B-TRADE SERVICES LLC
December 13, 1993 - July 31, 1996
JEFFERIES EXECUTION SERVICES, INC.
February 22, 1991 - February 23, 1993
LADENBURG THALMANN & CO. 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/23/2001
Limited Representative-Equity Trader ExamCurrent 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
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