MS
Michael C. Sulfaro
BGC FINANCIAL, L.P.
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 2483562
MS
Professional summary
Michael Carl Sulfaro is a registered financial professional 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, Series 7, Series 14, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Carl Sulfaro's 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®
NoneExperience
Current
September 3, 2013 - Present
BGC FINANCIAL, L.P.
Office #1: 331 Newman Springs Rd Building 3, Red Bank, NJ 07701BD
CRD#: 19801
Red Bank, NJ
Current
September 3, 2013 - Present
MINT BROKERS
Office #1: 55 Water Street 10th Floor, New York, NY 10038BD
CRD#: 13681
New York, NY
Current
April 25, 2024 - Present
GFI SECURITIES LLC
Office #1: 55 Water Street 10th Floor, New York, NY 10041BD
CRD#: 19982
New York, NY
Current
August 6, 2024 - Present
FMX EXECUTION, LLC
Office #1: 55 Water Street, New York, NY 10041BD
CRD#: 154075
New York, NY
Past
May 31, 2012 - September 4, 2013
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
March 28, 2011 - December 21, 2011
SOLEIL SECURITIES CORPORATION
BD
CRD#: 124737
NEW YORK, NY
Past
August 10, 2009 - February 2, 2012
TICONDEROGA SECURITIES LLC
BD
CRD#: 7671
NEW YORK, NY
Past
July 16, 2009 - August 11, 2009
COMMERZBANK CAPITAL MARKETS CORP.
BD
CRD#: 21787
NEW YORK, NY
Past
May 14, 2007 - August 7, 2009
COMMERZ MARKETS LLC
BD
CRD#: 41957
NEW YORK, NY
Past
August 23, 2004 - May 3, 2007
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
NEW YORK, NY
Past
July 30, 1998 - September 15, 2004
WEXFORD CLEARING SERVICES, LLC
BD
CRD#: 39310
NEW YORK, NY
Past
September 22, 1997 - July 7, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 2, 1995 - June 7, 1996
HERZOG, HEINE, GEDULD, LLC
BD
CRD#: 2186
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
Alabama(1/17/2017)
RR
Alaska(1/17/2017)
RR
Arizona(1/17/2017)
RR
Arkansas(1/17/2017)
RR
California(1/17/2017)
RR
Colorado(1/17/2017)
RR
Connecticut(1/17/2017)
RR
Delaware(1/17/2017)
RR
District of Columbia(11/22/2016)
RR
Florida(1/17/2017)
RR
Georgia(1/17/2017)
RR
Hawaii(1/17/2017)
RR
Idaho(1/17/2017)
RR
Illinois(10/18/2013)
RR
Indiana(1/17/2017)
RR
Iowa(1/17/2017)
RR
Kansas(1/17/2017)
RR
Kentucky(1/17/2017)
RR
Louisiana(1/17/2017)
RR
Maine(8/30/2017)
RR
Maryland(1/17/2017)
RR
Massachusetts(1/17/2017)
RR
Michigan(1/17/2017)
RR
Minnesota(1/17/2017)
RR
Mississippi(1/17/2017)
RR
Missouri(1/17/2017)
RR
Montana(1/17/2017)
RR
Nebraska(1/17/2017)
RR
Nevada(1/17/2017)
RR
New Hampshire(1/17/2017)
RR
New Jersey(1/17/2017)
RR
New Mexico(1/17/2017)
RR
New York(9/3/2013)
RR
North Carolina(1/18/2017)
RR
North Dakota(1/17/2017)
RR
Ohio(1/18/2017)
RR
Oklahoma(1/17/2017)
RR
Oregon(1/17/2017)
RR
Pennsylvania(1/17/2017)
RR
Puerto Rico(1/17/2017)
RR
Rhode Island(1/17/2017)
RR
South Carolina(1/17/2017)
RR
South Dakota(1/17/2017)
RR
Tennessee(1/17/2017)
RR
Texas(9/30/2013)
RR
Utah(1/17/2017)
RR
Vermont(1/17/2017)
RR
Virginia(1/17/2017)
RR
Washington(1/17/2017)
RR
West Virginia(1/17/2017)
RR
Wisconsin(1/17/2017)
RR
Wyoming(1/17/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/8/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
FE
FMX EXECUTION, LLC
FENICS EXECUTION, LLC | MODENA SECURITIES LLC | KYTE SECURITIES LLC | FMX EXECUTION, LLC
CRD#: 154075 / SEC#: , 8-68606
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 Water Street, New York, NY 10041
Mailing Address
55 Water Street, New York, NY 10041
Phone number
(212) 968-4122
Established
New York since 04/20/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (18 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 |
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.
