Christopher Thomas Genovese
Professional Summary
Christopher Thomas Genovese, who also goes by Christopher T Genovese, Geno Genovese, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Melville, New York. Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Christopher has worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 53 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Christopher T Genovese, Geno Genovese
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
Contact Information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132Mailing Address
18925 Base Camp Road, Monument, CO 80132Phone Number
(719) 488-9956Established
Delaware since 01/01/2008Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
255SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | — |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory Assets Under Management
Total Number of Accounts
1,505AUM (Assets Under Management)
$2,209,285,931Disclosures
Regulatory Event
5Arbitration
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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.
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Primary Firm SEC Registration
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
(9/3/2004)
(11/8/2005)
(4/11/2001)
(8/9/2004)
(4/16/2001)
(4/11/2001)
(8/5/2004)
(8/4/2004)
(5/15/2001)
(8/23/2004)
(8/10/2004)
(4/11/2001)
(4/23/2001)
(8/9/2004)
(4/11/2001)
(8/4/2004)
(8/4/2004)
(8/13/2004)
(9/1/2004)
(4/11/2001)
(4/25/2006)
(4/11/2001)
(10/3/2023)
(4/11/2001)
(8/4/2004)
(8/4/2004)
(10/25/2001)
(4/11/2001)
(11/2/2005)
(4/11/2001)
(8/5/2004)
(10/26/2004)
(8/4/2004)
(4/11/2001)
(8/4/2004)
(12/16/2008)
(8/4/2004)
(8/17/2006)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Christopher Thomas Genovese's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Thomas Genovese's CRS (Customer Relationship Summary).
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