Gene R. Maggio
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.
Gene Robert Maggio was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1987. Gene had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 99 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2017 - July 6, 2026
LIQUIDNET, INC.
July 25, 2014 - April 1, 2015
G-TRADE SERVICES LLC
June 25, 2012 - July 26, 2017
COWEN EXECUTION SERVICES LLC
June 20, 1989 - September 19, 1994
JAMES CAPEL INCORPORATED
August 6, 1987 - May 20, 1988
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
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
