Benjamin E. Mogil
Professional summary
Benjamin Edward Mogil is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2008. Benjamin has worked at 4 firms and has passed the Series 63, SIE, Series 82TO, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Edward Mogil's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 18, 2022 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003July 10, 2010 - March 9, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 15, 2008 - July 19, 2010
THOMAS WEISEL PARTNERS LLC
January 1, 2008 - February 14, 2008
THOMAS WEISEL PARTNERS (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/6/2024)
Exams
Series 82TO
Date: 6/16/2022
Limited Representative-Private Securities OfferingsFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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