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AM

Alana B. Marcus

Some features on this profile are disabled
CRD#: 5183108
AM

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.

Alana Brooke Marcus, who also goes by Alana B Dodson, Alana Brooke Dodson, was a registered financial professional .

Alana is a previously registered financial professional and started their career in finance in 2006. Alana had worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alana B Dodson | Alana Brooke Dodson

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 6, 2012 - October 24, 2012

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

June 6, 2012 - October 24, 2012

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

June 6, 2012 - October 24, 2012

AQUA SECURITIES L.P.

BD
CRD#: 47681
NEW YORK, NY
Past

November 12, 2008 - October 24, 2012

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

August 16, 2006 - September 22, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
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

State Security Law Exam
RR
Series 63
Date: 10/10/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2006
General Securities Representative Examination

Current Firm

MB
MINT BROKERS
BGC SECURITIES | SEMINOLE TRADING | SEMINOLE FINANCIAL | MINT BROKERS | CANTOR, FITZGERALD CORPORATE BROKERS, INC. | CANTOR FITZGERLAD PARTNERS | CANTOR FITZGERALD PARTNERS | CANTOR FITZGERALD FIXED INCOME BROKERS, INC.

CRD#: 13681 / SEC#: , 8-29616

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

Main Address
55 Water Street 10th Floor, New York, NY 10038
Mailing Address
55 Water Street 10th Floor, New York, NY 10041
Phone number
(646) 346-7000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MINT BROKERS HOLDINGS I, LLCLIMITED PARTNER
ABULARRAGE, JOHN JOSEPHCHIEF EXECUTIVE OFFICER3265633
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
HAUF, JASON WILLIAMSCHIEF FINANCIAL OFFICER4163331
LEWIS, THOMAS JOSEPHMANAGING DIRECTOR FIXED INCOME AND COMMODITIES2684821
LYNCH, MARTINCHIEF OPERATING OFFICE5612726
MINT BROKERS HOLDING II, LLCGENERAL PARTNER
SULFARO, MICHAEL CARLCHIEF COMPLIANCE OFFICER2483562

Disclosures

Regulatory Event2

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

MINT BROKERS

CRD#: 13681

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