Brett A. Mcgonegal
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.
Brett Alexander Mcgonegal was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1996. Brett had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 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
September 30, 2013 - February 4, 2016
AMTD FINANCIAL MARKETS (USA) LLC
March 10, 2008 - June 28, 2011
CANTOR FITZGERALD & CO.
January 7, 2005 - October 3, 2005
E*TRADE CLEARING LLC
January 7, 2005 - November 1, 2006
G1 EXECUTION SERVICES, LLC
December 8, 2004 - March 8, 2005
E*TRADE SECURITIES LLC
July 25, 1996 - November 10, 2004
UBS CAPITAL MARKETS L.P.
April 19, 1996 - June 26, 1996
BERNARD HEROLD & CO., INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 3/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
AMTD FINANCIAL MARKETS (USA) LLC
CRD#: 165313 / SEC#: , 8-69154
Contact information
Documents
Red Flags
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