Arthur W. Vogel
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.
Arthur W Vogel, who also goes by Arthur W Vogel, Arthur William Vogel, Art Vogel, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2005. Arthur had worked at 9 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2016 - March 10, 2017
MINT BROKERS
October 28, 2016 - March 10, 2017
FMX EXECUTION, LLC
October 28, 2016 - March 10, 2017
GFI SECURITIES LLC
October 28, 2016 - March 10, 2017
CFWP SECURITIES, LLC
October 28, 2016 - March 10, 2017
BGC FINANCIAL, L.P.
October 28, 2016 - March 10, 2017
AQUA SECURITIES L.P.
March 27, 2014 - March 10, 2017
CANTOR FITZGERALD & CO.
November 1, 2010 - November 19, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
September 22, 2005 - March 31, 2009
ABN AMRO INCORPORATED
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
MINT BROKERS
CRD#: 13681 / SEC#: , 8-29616
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MINT BROKERS HOLDINGS I, LLC | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICE | 5612726 |
| MINT BROKERS HOLDING II, LLC | GENERAL PARTNER | |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 2 |
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.
