Michael Carl Sulfaro
Professional Summary
Michael Carl Sulfaro, who also goes by Mike Sulfaro, is a registered financial advisor currently at BGC FINANCIAL, L.P. located in Red Bank, New Jersey and MINT BROKERS located in New York, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 13 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 99TO, Series 52TO, SIE, Series 87, Series 55,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Sulfaro
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
FENICS EXECUTION, LLC | MODENA SECURITIES LLC | KYTE SECURITIES LLC | FMX EXECUTION, LLC
Contact Information
Main Address
55 Water Street, New York, NY 10041Mailing Address
55 Water Street, New York, NY 10041Phone Number
(212) 968-4122Established
New York since 04/20/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FENICS MARKETS XCHANGE, LLC | SOLE MEMBER | — |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| RINALDO, MARK J | CHIEF OPERATING OFFICER | 4824739 |
| SCOTTO, LOUIS JAMES | CHIEF EXECUTIVE OFFICER | 1483052 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Feb 2005About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 2004SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Carl Sulfaro's CRS (Customer Relationship Summary).
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