Jennifer L. Emanuel
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.
Jennifer Liza Emanuel was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1997. Jennifer had worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2010 - December 31, 2011
BERNARD HEROLD & CO., INC.
January 2, 2008 - May 5, 2008
BONDMART, INC.
March 14, 2005 - December 18, 2007
ICAP SECURITIES USA LLC
March 5, 2004 - October 4, 2004
EQUITY STATION, INC.
May 23, 2003 - September 30, 2003
CONOR PETERSON LLC
April 14, 2003 - June 23, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
November 21, 2001 - December 6, 2002
VIRTU ITG LLC
May 20, 1999 - December 20, 2000
NEBRASKA HUDSON COMPANY, INC.
April 17, 1998 - March 16, 1999
CITIGROUP GLOBAL MARKETS INC.
February 5, 1997 - February 27, 1998
JPMSI
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
Series 55
Date: 3/15/2002
Limited Representative-Equity Trader ExamCurrent Firm
BERNARD HEROLD & CO., INC.
CRD#: 6193 / SEC#: , 8-17005
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEROLD, LAWRENCE STEPHEN | CHAIRMAN, PRESIDENT, ASST SEC, TREAS, DIR, CHIEF COMPLIANCE OFFICER | 870531 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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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