Naftali Feigenbaum
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.
Naftali Feigenbaum was a registered financial professional .
Naftali is a previously registered financial professional and started their career in finance in 1992. Naftali had worked at 10 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2005 - August 24, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
January 9, 2004 - November 23, 2004
TAFFERER TRADING, LLC
May 29, 1997 - May 23, 2002
SCHONFELD SECURITIES, LLC
January 10, 1997 - March 14, 1997
ON-SITE TRADING, INC.
September 6, 1996 - December 3, 1996
CORTLANDT CAPITAL CORPORATION
July 17, 1996 - August 5, 1996
COLIN WINTHROP & CO., INC.
October 13, 1995 - May 28, 1996
VISTA SECURITIES INC.
June 8, 1994 - August 1, 1994
H.J. MEYERS & CO., INC.
November 8, 1993 - January 17, 1994
GRUNTAL & CO., L.L.C.
March 2, 1992 - November 9, 1993
D. H. BLAIR & 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 55
Date: 12/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
