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AM

Alex Mumblat

SYNERGY CAPITAL I
NEW YORK, NY 10038
CRD#: 5084235
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AM
Alex MumblatSYNERGY CAPITAL I

Professional summary

Alex Mumblat is a registered financial professional currently at SYNERGY CAPITAL I, LLC located in New York, New York.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2006. Alex has worked at 1 firm and has passed the Series 79TO, Series 7TO, SIE and Series 7 exams.

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 Alex Mumblat'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

August 13, 2022 - Present

SYNERGY CAPITAL I, LLC

Office #1: 40 Fulton Street, New York, NY 10038
BD
CRD#: 47965
NEW YORK, NY
Past

May 12, 2006 - April 20, 2020

SYNERGY CAPITAL I, LLC

BD
CRD#: 47965
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SYNERGY CAPITAL I, LLC
SYNERGY CAPITAL I, LLC | SYNERGY CAPITAL, INC.

CRD#: 47965 / SEC#: , 8-51971

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

Main Address
40 Fulton Street, New York, NY 10038
Mailing Address
40 Fulton Street 23rd Floor, New York, NY 10038
Phone number
(212) 385-0537
Established
Delaware since 10/26/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
CSG III, LLCPARENT
BERMAN, STEPHEN JEFFREYPRESIDENT,CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER1301872
GEORGE, KENNETH RONALDCFO, PRINCIPAL FINANCIAL OFFICER AND OPERATIONS OFFICER2643369

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SYNERGY CAPITAL I, LLC

CRD#: 47965New York, NY 10038

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