James E. Minogue
Professional summary
James Edwin Minogue is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2020. James has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Edwin Minogue's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2024 - Present
APOLLO GLOBAL SECURITIES, LLC
Office #1: 151 W 42nd Street 5th Floor, New York, NY 10036July 10, 2020 - January 25, 2024
CONNING INVESTMENT PRODUCTS, 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
(3/7/2024)
Exams
Series 7TO
Date: 7/10/2020
General Securities Representative ExaminationFINRA
Current Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
Red Flags
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