Miguel R. Trinidad Ogando
Professional summary
Miguel Rafael Trinidad Ogando, who also goes by Miguel Rafael Trinidad, Miguel R Trinidad Ogando, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.
Miguel is registered as a RR (Registered Representative) and started their career in finance in 2007. Miguel has worked at 7 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Miguel Rafael Trinidad Ogando's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 3, 2017 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286October 16, 2015 - March 31, 2016
CAPITAL ONE ADVISORS, LLC
October 14, 2015 - March 31, 2016
CAPITAL ONE INVESTING, LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
April 18, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 18, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 15, 2008 - February 28, 2011
PNC WEALTH MANAGEMENT LLC
February 15, 2008 - February 28, 2011
PNC WEALTH MANAGEMENT LLC
September 10, 2007 - January 2, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2007 - January 2, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/25/2024)
(5/3/2017)
Exams
Series 52TO
Date: 7/19/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
Red Flags
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