Loretta Emanuele
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.
Loretta Emanuele was a registered financial professional .
Loretta is a previously registered financial professional and started their career in finance in 1984. Loretta had worked at 4 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 1996 - April 10, 2002
THE THORNWATER COMPANY, L.P.
November 9, 1994 - September 28, 1995
FAB SECURITIES OF AMERICA, INC.
May 4, 1994 - November 11, 1994
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 2, 1984 - April 29, 1994
BROUNOFF, CLAIRE & CO., INC.
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
THE THORNWATER COMPANY, L.P.
CRD#: 36195 / SEC#: , 8-47178
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
