Francis J. Genatossio
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.
Francis J Genatossio, who also goes by Francis Joseph Genatossio, Frank Joseph Genatossio, Frank Genatossio, Frank Joseph Genatossio, Francis Genatossio, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1983. Francis had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2021 - June 3, 2022
CITIZENS SECURITIES, INC.
February 25, 2021 - June 3, 2022
CITIZENS SECURITIES, INC.
October 31, 2018 - September 29, 2020
SANTANDER SECURITIES LLC
October 22, 2018 - September 29, 2020
SANTANDER SECURITIES LLC
February 14, 2017 - October 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
February 14, 2017 - October 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2009 - February 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - February 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 9, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 21, 2002 - February 2, 2005
IFMG SECURITIES, INC.
November 21, 2002 - February 2, 2005
IFMG SECURITIES, INC.
May 1, 2002 - November 12, 2002
STRATEGIC ADVISERS LLC
March 12, 1999 - November 7, 2002
FIDELITY BROKERAGE SERVICES LLC
July 3, 1997 - March 3, 1999
IFMG SECURITIES, INC.
May 1, 1997 - June 26, 1997
SIGNATOR INVESTORS, INC.
October 15, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 19, 1983 - June 17, 1997
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
Series 8
Date: 8/18/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
