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MK

Michael Kogan

Some features on this profile are disabled
CRD#: 6393056
MK

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.

Michael Kogan was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2014. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 57 and Series 7 exams.

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)

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

September 14, 2016 - June 28, 2018

TWO RIVERS TRADING GROUP LLC

BD
CRD#: 158549
NEW YORK, NY
Past

March 4, 2015 - June 1, 2016

VOLANT LIQUIDITY, LLC

BD
CRD#: 150063
NEW YORK, NY
Past

September 10, 2014 - March 5, 2015

KGS-ALPHA CAPITAL MARKETS, L.P.

BD
CRD#: 151705
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: 9/26/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 11/18/2016
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/10/2014
General Securities Representative Examination

Current Firm

TR
TWO RIVERS TRADING GROUP LLC
TWO RIVERS TRADING GROUP LLC | ZONE EQUITY GROUP, LLC

CRD#: 158549 / SEC#: , 8-68907

BD
Terminated by SEC on 12/15/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/13/2007
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TWO RIVERS ENTITIES LLCMANAGING MEMBER/OWNER
CHAN TERRACCIANO, ELENACHIEF COMPLIANCE OFFICER6073707
OBSBAUM, FREDRIC MICHAELFINOP1160811
YOUSSIS, CONSTANTINOSMANAGING MEMBER5302718

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

TWO RIVERS TRADING GROUP LLC

CRD#: 158549

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