Geoff Macdonald
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.
Geoff Macdonald, who also goes by Geoffrey Colm Macdonald, was a registered financial professional .
Geoff is a previously registered financial professional and started their career in finance in 1997. Geoff had worked at 5 firms and has passed the Series 63, Series 7TO, Series 82TO, SIE, Series 3, 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
March 14, 2022 - April 29, 2026
FNEX CAPITAL, LLC
September 13, 2004 - August 13, 2007
MIZUHO SECURITIES USA LLC
July 22, 1998 - July 9, 2004
BARCLAYS CAPITAL INC.
August 28, 1997 - June 18, 1998
UBS CAPITAL MARKETS L.P.
April 24, 1997 - June 30, 1997
GRUNTAL & CO., L.L.C.
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 7TO
Date: 5/15/2022
General Securities Representative ExaminationSeries 82TO
Date: 3/14/2022
Limited Representative-Private Securities OfferingsCurrent Firm
FNEX CAPITAL, LLC
CRD#: 166316 / SEC#: , 8-69199
Contact information
FINRA licenses (51 States and Territories)
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.
