Michael H. Mangieri

SEVEN POINTS CAPITAL

New York, NY 10022

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CRD#: 4229177

Professional summary

Michael Howard Mangieri is a registered financial professional currently at SEVEN POINTS CAPITAL, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Michael Howard Mangieri'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

November 9, 2007 - Present

SEVEN POINTS CAPITAL, LLC

Office #1: 150 Third Avenue Suite 3002, New York, NY 10022

CRD#: 144211

New York, NY

Past

July 9, 2015 - April 5, 2018

MATCH-POINT SECURITIES, LLC

CRD#: 17687

New York, NY

Past

March 20, 2001 - November 8, 2007

EQUITY TRADING ONLINE, LLC

CRD#: 104038

NEW YORK, NY

Past

December 14, 2000 - March 12, 2001

TERRA NOVA FINANCIAL, LLC

CRD#: 37761

NEW YORK, NY

State Registrations and Notice Filings

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

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

Arizona
(3/25/2024)

Florida
(7/19/2017)

New York
(11/9/2007)

Exams

State Security Law Exam

Series 63

Date: 5/3/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/23/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 12/3/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 28

Date: 6/14/2008

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SEVEN POINTS CAPITAL, LLC

CRD#: 144211 / SEC#: , 8-67644

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

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Contact information

Main Address

150 East 52nd Street Suite 3002, New York, NY 10022

Mailing Address

150 East 52nd Street Suite 3002, New York, NY 10022

Phone number

(212) 760-0760

Established

New York since 02/23/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KATZ, MICHAEL M.	OWNER	4351041
MANGIERI, MICHAEL HOWARD	PARTNER, CEO, CCO	4229177
MILLER, JOHN STEVENSON	FINOP	2139980

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Michael H. Mangieri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Howard Mangieri's CRS (Customer Relationship Summary).

Certified licenses

Experience

MATCH-POINT SECURITIES, LLC

EQUITY TRADING ONLINE, LLC

TERRA NOVA FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/2001

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 10/23/2004

Series 55

Date: 12/3/2003

Series 7

Date: 12/13/2000

Series 14

Date: 1/2/2023

Series 28

Date: 6/14/2008

Series 24

Date: 6/7/2002

FINRA

Current Firm

SEVEN POINTS CAPITAL, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SEVEN POINTS CAPITAL, LLC

TRUST BUT VERIFY

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