Michael S. Pak
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 S Pak was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 87 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
October 23, 2019 - March 3, 2021
BGC FINANCIAL, L.P.
May 9, 2017 - June 25, 2019
AXIA CAPITAL MARKETS, LLC
May 19, 2014 - October 16, 2015
JONESTRADING
March 14, 2011 - February 28, 2013
D/B/A CLARKSONS PLATOU SECURITIES
June 20, 2005 - April 17, 2009
BANC OF AMERICA SECURITIES LLC
August 4, 2000 - May 2, 2005
CITIGROUP GLOBAL MARKETS INC.
October 2, 1998 - February 23, 2000
ABN AMRO SECURITIES LLC
November 29, 1997 - September 1, 1998
SALOMON BROTHERS INC.
October 9, 1996 - September 21, 1998
CITIGROUP GLOBAL MARKETS 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
Current Firm
BGC FINANCIAL, L.P.
CRD#: 19801 / SEC#: , 8-39012
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
Red Flags
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