Manu V. Desai
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.
Manu V Desai, who also goes by Manny Desai, Manu VIctor Desai, Manu Vo Desai, Manu Desai, Munn Desai, was a registered financial professional .
Manu is a previously registered financial professional and started their career in finance in 1987. Manu had worked at 11 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2006 - October 11, 2006
LIGHTHOUSE CAPITAL CORPORATION
May 2, 2003 - September 1, 2004
LIGHTHOUSE CAPITAL CORPORATION
April 16, 2001 - April 11, 2002
SIGNATOR INVESTORS, INC.
July 6, 1999 - February 2, 2001
LIGHTHOUSE CAPITAL CORPORATION
March 8, 1999 - July 27, 1999
SAN CLEMENTE SECURITIES, INC.
March 3, 1998 - November 4, 1998
GRIFFIN FINANCIAL SERVICES
December 23, 1996 - March 7, 1998
FIMCO SECURITIES GROUP, INC.
July 23, 1994 - July 18, 1995
METLIFE INVESTORS DISTRIBUTION COMPANY
January 26, 1994 - May 6, 1994
GUARANTY BROKERAGE SERVICES, INC.
May 7, 1992 - April 6, 1993
MARKETING ONE SECURITIES, INC.
February 16, 1990 - June 5, 1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
August 25, 1988 - February 5, 1990
MORGAN STANLEY DW INC.
December 22, 1987 - September 14, 1988
UBS 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
LIGHTHOUSE CAPITAL CORPORATION
CRD#: 41812 / SEC#: , 8-49576
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| 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.
