Arthur U. Mbanefo
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 Ubaka Mbanefo, who also goes by Art Mbanefo, Arthur U Mbanefo, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1999. Arthur had worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 55, Series 3, Series 7, Series 17, Series 24, Series 10 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2021 - July 28, 2022
LUMENT SECURITIES, LLC
July 8, 2009 - July 29, 2019
BARCLAYS CAPITAL INC.
September 8, 2005 - December 7, 2005
PALOMA SECURITIES L.L.C.
March 22, 2001 - May 11, 2001
CREDIT SUISSE CAPITAL LLC
September 9, 1999 - November 21, 2003
CREDIT SUISSE SECURITIES (USA) LLC
August 13, 1999 - November 3, 1999
CSFP CAPITAL, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 2/7/2000
Limited Representative-Equity Trader ExamSeries 17
Date: 11/1/1996
Limited Registered Representative ExaminationCurrent Firm
LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
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.
