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MM

Miguel A. Mondragon

EPIC CAPITAL SECURITIES
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 5303245
MM

Professional summary

Miguel Angel Mondragon is a registered financial professional currently at EPIC CAPITAL SECURITIES located in Boca Raton, Florida.

Miguel is registered as a RR (Registered Representative) and started their career in finance in 2018. Miguel has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 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 Miguel Angel Mondragon's CRS (Customer Relationship Summary).
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 13, 2019 - Present

EPIC CAPITAL SECURITIES

Office #1: 1951 Nw 19th Street Suite 203, Boca Raton, FL 33431
BD
CRD#: 166756
Boca Raton, FL
Past

March 16, 2018 - November 6, 2019

PERSHING LLC

BD
CRD#: 7560
LAKE MARY, FL

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
Florida
(11/13/2019)
RR
New York
(2/6/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2019
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: 3/16/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/19/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EC
EPIC CAPITAL SECURITIES
EPIC CAPITAL SECURITIES | EPIC CAPITAL SECURITIES CORP

CRD#: 166756 / SEC#: , 8-69229

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

Main Address
1951 Nw 19th Street Suite 203, Boca Raton, FL 33431
Mailing Address
1951 Nw 19th Street Suite 203, Boca Raton, FL 33431
Phone number
(561) 829-2173
Established
Florida since 11/29/2012
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
T@W TECHNOLOGY AT WORK HOLDINGS INC.OWNER
CAIROLI, PABLO MANUELCEO4024225
GILMAN, ROBERT CRAIGCFO/FINOP/PFO/POO1738412
NILSSON, THOMAS MARTINPRESIDENT6157841
NILSSON, THOMAS MARTINCCO/ COO6157841

Disclosures

Regulatory Event1

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

EPIC CAPITAL SECURITIES

CRD#: 166756Boca Raton, FL 33431

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