Karine Ngai
Professional summary
Karine Ngai is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York and NEWMARK SECURITIES, LLC located in New York, New York.
Karine is registered as a RR (Registered Representative) and started their career in finance in 2023. Karine has worked at 7 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karine Ngai's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2023 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4th Floor, New York, NY, 10022June 28, 2024 - Present
NEWMARK SECURITIES, LLC
Office #1: 125 Park Avenue, New York, NY 10017June 28, 2024 - Present
CF SECURED, LLC
Office #1: 110 East 59th Street 4th Floor, New York, NY 10022June 28, 2024 - Present
FMX EXECUTION, LLC
Office #1: 55 Water Street, New York, NY 10041June 28, 2024 - Present
GFI SECURITIES LLC
Office #1: 55 Water Street 10th Floor, New York, NY 10041June 28, 2024 - Present
BGC FINANCIAL, L.P.
Office #1: 55 Water Street 10th Floor, New York, NY, 10004June 28, 2024 - Present
MINT BROKERS
Office #1: 55 Water Street 10th Floor, New York, NY 10038State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 10/23/2023
Operations Professional ExaminationFINRA
Current Firm
MINT BROKERS
CRD#: 13681 / SEC#: , 8-29616
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MINT BROKERS HOLDINGS I, LLC | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICE | 5612726 |
| MINT BROKERS HOLDING II, LLC | GENERAL PARTNER | |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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