John G. Genovese
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.
John Gaetano Genovese, who also goes by Jack Genovese, John Gaefano Genovese, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1968. John had worked at 11 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 1990 - July 6, 1992
DEUTSCHE IXE, LLC
March 29, 1989 - November 16, 1990
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 17, 1988 - April 4, 1989
JEFFERIES LLC
April 25, 1985 - December 31, 1987
UBS FINANCIAL SERVICES INC.
September 3, 1980 - April 25, 1985
MORGAN STANLEY DW INC.
April 15, 1980 - April 16, 1981
BECKER PARIBAS INCORPORATED
February 15, 1977 - April 24, 1980
CREDIT SUISSE SECURITIES (USA) LLC
February 1, 1972 - March 17, 1977
KEEFE, BRUYETTE & WOODS, INC.
August 13, 1971 - March 26, 1972
DOMIK CORP.
January 26, 1971 - August 16, 1971
WERTHEIM & CO.
January 22, 1968 - February 11, 1971
CARL MARKS & CO., 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 1
Date: 3/27/1962
Registered Representative ExaminationSeries 40
Date: 11/6/1978
Registered Principal ExaminationCurrent Firm
DEUTSCHE IXE, LLC
CRD#: 7172 / SEC#: , 8-13967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IXE SECURITIES, INC. | MEMBER | |
| NDB CAPITAL MARKETS CORPORATION | MEMBER | |
| DE SAN, PATRICK | CHIEF COMPLIANCE OFFICER | 2371051 |
| DE SAN, PATRICK | CHIEF FINANCIAL OFFICER/FINOP | 2371051 |
| DERHALLI, KERIM RICHARD | MANAGER | 2187407 |
| HOPE, RUPERT DICKIE | MANAGER | 2598323 |
| HORCASITAS, JAVIER MOLINAR | MANAGER | 4678281 |
| NARANJO, MAURICIO | MANAGER | 5070130 |
| PONS, JOSE IGNACIO DE ABIEGA | MANAGER | 4678290 |
| SANCHEZ-MEJORADA, ENRIQUE CASTILLO | MANAGER | 4678285 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 2 |
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.
