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MA

Manuel P. Asensio

Some features on this profile are disabled
CRD#: 1148811
MA

Professional summary

Manuel Peter Asensio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Manuel is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Manuel had worked at 12 firms, which includes INTEGRAL SECURITIES INC., GILFORD SECURITIES INCORPORATED, WORLD FIRST FINANCIAL SERVICES INC., LAIDLAW GLOBAL SECURITIES INC., LADENBURG THALMANN & CO. INC., THOMSON MCKINNON SECURITIES INC., MOSELEY SECURITIES CORPORATION, STEINBERG & LYMAN, BAIRD PATRICK & CO. INC., J.P. MORGAN SECURITIES LLC, CENTRE/FOUR SECURITIES INC., VICEROY INTERNATIONAL SECURITIES CORP..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 7, 1993 - September 11, 2003

INTEGRAL SECURITIES, INC.

BD
CRD#: 31742
NEW YORK, NY
Past

August 6, 1992 - December 15, 1992

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

February 20, 1990 - July 16, 1990

WORLD FIRST FINANCIAL SERVICES, INC.

BD
CRD#: 1612
STATEN ISLAND, NY
Past

October 25, 1989 - November 16, 1989

LAIDLAW GLOBAL SECURITIES, INC.

BD
CRD#: 19018
NEW YORK, NY
Past

June 13, 1989 - October 25, 1989

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

March 3, 1988 - May 23, 1989

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

January 22, 1988 - March 5, 1988

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

July 28, 1987 - January 1, 1988

STEINBERG & LYMAN

BD
CRD#: 15704
Past

May 9, 1987 - July 30, 1987

BAIRD, PATRICK & CO., INC.

BD
CRD#: 1149
Past

May 15, 1986 - January 1, 1987

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

February 6, 1986 - March 11, 1988

CENTRE/FOUR SECURITIES, INC.

BD
CRD#: 14625
Past

October 24, 1983 - February 3, 1986

VICEROY INTERNATIONAL SECURITIES CORP.

BD
CRD#: 13780

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

State Security Law Exam
RR
Series 63
Date: 2/27/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 9/22/1999
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 2/8/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/19/1994
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/10/1994
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/18/1993
Financial and Operations Principal Examination

Current Firm

IS
INTEGRAL SECURITIES, INC.
ASENSIO & COMPANY, INC. | INTEGRAL SECURITIES, INC. | ASENSIO BROKERAGE SERVICES, INC. | ASENSIO BROKERAGE SERVICES, INC

CRD#: 31742 / SEC#: , 8-45530

BD
Terminated by SEC on 07/22/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/03/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KELLY, TARA AREGISTERED PRINCIPAL4482428
LLIVICHUZCA, LORENA MARIAREGISTERED PRINCIPAL, FINANCIAL OPERATIONS PRINCIPAL AND CHIEF COMPLIANCE OFFICER4752629

Disclosures

Regulatory Event7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

INTEGRAL SECURITIES, INC.

CRD#: 31742

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