Emma A. Sugarman
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.
Emma Alexandra Sugarman, who also goes by Emma Alexandra Frazierroth, Emma Alexandra Mitchell, Emma Alexandra Sugarman, was a registered financial professional .
Emma is a previously registered financial professional and started their career in finance in 1995. Emma had worked at 7 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 31, Series 7, Series 22 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
June 22, 2018 - August 20, 2020
CF SECURED, LLC
June 21, 2018 - August 20, 2020
CANTOR FITZGERALD & CO.
October 6, 2014 - October 5, 2015
NEUBERGER BERMAN BD LLC
May 25, 2011 - November 5, 2012
BNP PARIBAS SECURITIES CORP.
August 20, 2008 - October 3, 2012
BNP PARIBAS PRIME BROKERAGE, INC.
September 8, 2005 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
April 5, 1995 - January 12, 1996
TCC SECURITIES CORPORATION
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 7TO
Date: 3/5/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/5/2024
Operations Professional ExaminationCurrent Firm
CF SECURED, LLC
CRD#: 285841 / SEC#: , 8-69863
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CF SECURED HOLDINGS, LLC | SOLE MEMBER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFIER/GLOBAL HEAD OF EQUITIES | 4424051 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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