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EG

Edward J. Geniton

Some features on this profile are disabled
CRD#: 2328812
EG

Professional summary

Edward John Geniton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Edward is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Edward had worked at 10 firms, which includes ESSEX NATIONAL SECURITIES LLC, HSBC BROKERAGE (USA) INC., REPUBLIC FINANCIAL SERVICES CORPORATION, DIME SECURITIES INC., WELLS FARGO BROKERAGE SERVICES L.L.C., U.S. BANCORP INVESTMENTS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., GRUNTAL & CO. L.L.C., SOUTH RICHMOND SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 13, 2001 - December 5, 2001

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

June 19, 2000 - October 12, 2001

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

December 9, 1999 - June 19, 2000

REPUBLIC FINANCIAL SERVICES CORPORATION

BD
CRD#: 38293
NEW YORK, NY
Past

July 1, 1999 - October 18, 1999

DIME SECURITIES, INC.

BD
CRD#: 28955
BROOKLYN, NY
Past

January 26, 1998 - June 11, 1999

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

September 2, 1997 - January 23, 1998

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

November 8, 1994 - June 9, 1997

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

November 8, 1994 - June 9, 1997

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

February 21, 1994 - September 21, 1994

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

November 30, 1993 - December 21, 1993

SOUTH RICHMOND SECURITIES, INC.

BD
CRD#: 14913

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/24/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/29/2001
Investment Company Products/Variable Contracts Principal Examination

Current Firm

EN
ESSEX NATIONAL SECURITIES, LLC
ESSEX NATIONAL SECURITIES, INC. | ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454 / SEC#: 801-70990, 8-41750

BD
Terminated by SEC on 09/13/2016
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Contact information

Main Address
550 Gateway Drive Suite 210, Napa, CA 94558
Mailing Address
Phone number
Established
Delaware since 06/27/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ESSEX NATIONAL HOLDING COMPANY, LLCOWNER
AMARANTE, STEPHEN PAULCHAIRMAN OF BOARD OF DIRECTORS3165067
COONEY, JOHN MICHAELCOO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP1326757
CUMMINGS, WILLIAM FRANCISDIRECTOR4761165
DAVIS, SCOTT KELSOPRESIDENT, CEO, DIRECTOR1252573

Disclosures

Regulatory Event5

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.

Company Information

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

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