Dennis P. Emanuel

CHATSWORTH SECURITIES LLC

Greenwich, CT 06830

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CRD#: 2182619

Professional summary

Dennis Paul Emanuel is a registered financial professional currently at CHATSWORTH SECURITIES LLC located in Greenwich, Connecticut.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 1991. Dennis has worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 30, 2022 - Present

CHATSWORTH SECURITIES LLC

Office #1: 95 East Putnam Avenue, Greenwich, CT 06830

CRD#: 40804

Greenwich, CT

Past

January 3, 2019 - March 24, 2020

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

March 13, 2015 - December 31, 2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

CRD#: 144464

DENVER, CO

Past

July 24, 1998 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

July 24, 1998 - October 23, 2012

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 23, 1991 - June 10, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(4/1/2022)

New York
(6/30/2022)

Exams

State Security Law Exam

Series 63

Date: 6/28/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 3/30/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 3/3/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/21/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CHATSWORTH SECURITIES LLC

CHATSWORTH SECURITIES LLC | CHATSWORTH SECURITIES, LLC

CRD#: 40804 / SEC#: 801-120061, 8-49199

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

95 East Putnam Avenue, Greenwich, CT 06830

Mailing Address

95 East Putnam Avenue, Greenwich, CT 06830

Phone number

(203) 629-2612

Established

New York since 03/20/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (6 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
DIFIORE, RALPH RAYMOND	SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER	1913027
FULVIO, GENNARO JOHN	FINOP	2435828
MACLEAN, DANIEL CRAWFORD	SENIOR MANAGING DIRECTOR	1467579
MATCOVSKY, JOEL JAY	SENIOR MANAGING DIRECTOR	1769496
THE ESTATE OF CURTIS E. GOWDY	ESTATE

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Dennis P. Emanuel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dennis Paul Emanuel's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/2022

SIE

Date: 10/1/2018

Series 86

Date: 3/30/2005

Series 87

Date: 3/3/2005

Series 7

Date: 10/21/1991

Series 24

Date: 7/20/2004

FINRA

Current Firm

CHATSWORTH SECURITIES LLC

Contact information

FINRA licenses (6 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CHATSWORTH SECURITIES LLC

TRUST BUT VERIFY

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