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MG

Mauricio Gojman

FREDERICKS MICHAEL SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 6941136
MG

Professional summary

Mauricio Gojman is a registered financial professional currently at FREDERICKS MICHAEL SECURITIES, INC. located in New York, New York.

Mauricio is registered as a RR (Registered Representative) and started their career in finance in 2018. Mauricio has worked at 1 firm and has passed the SIE and Series 79 exams.

top-8-questions

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) - BD

Click below to view Mauricio Gojman's CRS (Customer Relationship Summary).

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

Current

May 16, 2018 - Present

FREDERICKS MICHAEL SECURITIES, INC.

Office #1: 430 Park Avenue 8th Floor, New York, NY 10022
BD
CRD#: 46725
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/16/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FM
FREDERICKS MICHAEL SECURITIES, INC.
FM VENTURES, INC. | FREDERICKS MICHAEL SECURITIES, INC.

CRD#: 46725 / SEC#: , 8-51512

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
430 Park Avenue 8th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 8th Floor, New York, NY 10022
Phone number
(212) 732-1600
Established
New York since 05/17/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FREDERICKS MICHAEL & CO.SHAREHOLDER
CARABERIS, GEORGE PETERDIRECTOR, SHAREHOLDER, SECRETARY3173570
DAVIES, BLAKE ANTHONYDIRECTOR, SHAREHOLDER1818403
HALL, CAREY MEREDITHDIRECTOR, SHAREHOLDER
NIXON, JON ALANFINOP4710715
SMULEVITZ, CHARLES DAVIDCHIEF COMPLIANCE OFFICER5099387

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

FREDERICKS MICHAEL SECURITIES, INC.

CRD#: 46725New York, NY 10022

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