Geoffrey T. Genovese
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.
Geoffrey Thomas Genovese, who also goes by Geoff Genovese, Jeff Genovese, was a registered financial advisor .
Geoffrey is a previously registered financial advisor and started their career in finance in 1984. Geoffrey had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2014 - December 26, 2014
WORLD INVESTMENTS, LLC
February 13, 2014 - December 26, 2014
WORLD INVESTMENTS, LLC
January 21, 2010 - January 30, 2014
NATIONAL SECURITIES CORPORATION
January 23, 2004 - February 2, 2010
GUNNALLEN FINANCIAL, INC
April 10, 2003 - February 2, 2010
GUNNALLEN FINANCIAL, INC
July 24, 2002 - September 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 8, 1993 - September 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 8, 1991 - March 31, 1992
MID-STATE SECURITIES CORP.
January 8, 1987 - January 4, 1991
MORGAN STANLEY DW INC.
January 31, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 31, 1985 - January 28, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
March 5, 1984 - December 20, 1984
FORESTERS FINANCIAL SERVICES, 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
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 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.
