Jewel Ellen F. Sapuay
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.
Jewel Ellen F Sapuay, who also goes by Jewelelle Sapuay, was a registered financial professional .
Jewel Ellen is a previously registered financial professional and started their career in finance in 2018. Jewel Ellen had worked at 10 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2018 - April 5, 2019
SUNRISE BROKERS LLC
October 1, 2018 - April 5, 2019
MINT BROKERS
October 1, 2018 - April 5, 2019
FMX EXECUTION, LLC
October 1, 2018 - April 5, 2019
GFI SECURITIES LLC
October 1, 2018 - April 5, 2019
CFWP SECURITIES, LLC
October 1, 2018 - April 5, 2019
CF SECURED, LLC
October 1, 2018 - April 5, 2019
CASTLEOAK SECURITIES, LP
October 1, 2018 - April 5, 2019
CANTOR FITZGERALD & CO.
October 1, 2018 - April 5, 2019
BGC FINANCIAL, L.P.
October 1, 2018 - April 5, 2019
AQUA SECURITIES L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SUNRISE BROKERS LLC
CRD#: 151012 / SEC#: , 8-68325
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SBL SUNRISE BROKERS LIMITED | MEMBER | |
| BGC PARTNERS, L.P. | MANAGING MEMBER | |
| AUBIN, JEAN PIERRE | CHIEF EXECUTIVE OFFICER | 5596046 |
| BISGAY, STEVEN | CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4424156 |
| IATAURO, KRISTI LYNN | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 4280146 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER & SECRETARY | 2380166 |
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.
