Emmanuel C. Geronimos
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.
Emmanuel Christopher Geronimos, who also goes by Emmanuel Christophe Geronimos, Manny Geronimos, was a registered financial professional .
Emmanuel is a previously registered financial professional and started their career in finance in 1974. Emmanuel had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 000, Series 1, Series 9, Series 10 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
November 5, 2008 - April 16, 2015
NOBLE CAPITAL MARKETS, INC.
April 21, 2005 - October 16, 2008
W.R. HAMBRECHT + CO., LLC
May 30, 2001 - April 12, 2004
FULCRUM GLOBAL PARTNERS LLC
September 17, 1997 - June 14, 2001
ABN AMRO SECURITIES LLC
March 25, 1996 - June 16, 1997
LADENBURG THALMANN & CO. INC.
October 5, 1992 - March 1, 1996
J.P. MORGAN SECURITIES LLC
January 9, 1989 - October 5, 1992
LEHMAN BROTHERS INC.
June 2, 1980 - October 29, 1984
BECKER PARIBAS INCORPORATED
April 3, 1980 - June 30, 1980
MORGAN STANLEY & CO. LLC
January 15, 1979 - April 14, 1980
BECKER PARIBAS INCORPORATED
September 16, 1977 - December 16, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
July 25, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
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: 3/23/2000
Limited Representative-Equity Trader ExamSeries 000
Date: 7/22/1974
General Securities Principal ExaminationSeries 1
Date: 7/22/1974
Registered Representative ExaminationCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
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