Emerito R. Cruz
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.
Emerito Romero Cruz was a registered financial professional .
Emerito is a previously registered financial professional and started their career in finance in 1991. Emerito had worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6 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
September 17, 2015 - June 23, 2021
CANTONE RESEARCH INC.
April 7, 1995 - November 13, 2013
CANTONE RESEARCH INC.
January 16, 1995 - April 6, 1995
CITIGROUP GLOBAL MARKETS INC.
August 19, 1994 - October 31, 1994
GRUNTAL & CO., L.L.C.
January 11, 1991 - January 21, 1992
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/19/2007
Limited Representative-Equity Trader ExamCurrent Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| 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.
