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JM

Jennifer A. Minogue

DZ FINANCIAL MARKETS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2874574
JM

Professional summary

Jennifer Ann Minogue is a registered financial professional currently at DZ FINANCIAL MARKETS LLC located in New York, New York.

Jennifer is registered as a RR (Registered Representative) and started their career in finance in 2007. Jennifer has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jennifer Ann Minogue's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 2, 2011 - Present

DZ FINANCIAL MARKETS LLC

Office #1: One Vanderbilt - 49th Floor Main Office, New York, NY 10017Office #2: One Vanderbilt 49th Floor, New York, NY 10017
BD
CRD#: 47098
New York, NY
Past

June 4, 2007 - January 6, 2010

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(9/2/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DF
DZ FINANCIAL MARKETS LLC
DG FINANCIAL MARKETS LLC | DZ FINANCIAL MARKETS LLC

CRD#: 47098 / SEC#: , 8-51687

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Vanderbilt 49th Floor, New York, NY 10017
Mailing Address
One Vanderbilt 49th Floor, New York, NY 10017
Phone number
(212) 745-1600
Established
Delaware since 10/05/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DZ BANK AG DEUTSCHE ZENTRAL-GENOSSENSCHAFTSBANK FRANKFURT AM MAIN (DZ BANK AG)SHAREHOLDER
ENGLERT, CHRISTIANDIRECTOR - BOARD MEMBER7938811
KATTAN, EMILECHIEF COMPLIANCE OFFICER5080805
KWAN, SAUPINGFINOP2314707
MCCANN, NORAH ELIZABETH MSDIRECTOR5081651
ORTOLF, HELMUT PIUSDIRECTOR - BOARD MEMBER
SUMMERER, GERHARD JRPRESIDENT2662173

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.

Company Information

DZ FINANCIAL MARKETS LLC

CRD#: 47098New York, NY 10017

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