John S. Emmett

GENEVA FINANCIAL GROUP LLC

Allen, TX

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CRD#: 2348092

Professional summary

John S Emmett, who also goes by John Emmett, is a registered financial advisor currently at GENEVA FINANCIAL GROUP LLC located in Allen, Texas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. John has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Emmett

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.

PARACLETE ADVISORS - FINANCIAL PLANNING, LIFE INSURANCE, AND ANNUITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John S Emmett's CRS (Customer Relationship Summary).

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

February 16, 2010 - Present

GENEVA FINANCIAL GROUP LLC

RIA

CRD#: 142899

Allen, TX

Past

January 9, 2008 - November 2, 2009

BROKERSXPRESS LLC

RIA

CRD#: 127081

ALLEN, TX

Past

December 5, 2007 - November 2, 2009

BROKERSXPRESS LLC

CRD#: 127081

ALLEN, TX

Past

July 1, 2003 - December 5, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PLANO, TX

Past

July 1, 2003 - December 5, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PLANO, TX

Past

March 5, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

PLANO, TX

Past

November 13, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 5, 2001 - November 5, 2001

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

December 16, 1999 - October 16, 2000

NEWEDGE FINANCIAL INC.

CRD#: 27322

CHICAGO, IL

Past

June 23, 1997 - June 25, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 4, 1994 - July 1, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(2/16/2010)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/5/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/3/1994

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/19/1993

National Commodity Futures Examination

Current Firm

GENEVA FINANCIAL GROUP LLC

GENEVA FINANCIAL GROUP LLC | GENEVA FINANCIAL GROUP, LLC | GENEVA FINANCIAL GROUP, INC

CRD#: 142899 / SEC#: 801-107959

RIA

Registered Investment Advisory firm - (5/5/2017 Terminated)

Illinois

Registered Investment Advisory firm - (6/2/2017 Approved)

Texas

Registered Investment Advisory firm - (2/12/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Geneva, IL

Mailing Address

Phone number

(630) 645-8201

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 7,000,000

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

John S. Emmett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John S Emmett's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROKERSXPRESS LLC

BROKERSXPRESS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

CHARTER ONE SECURITIES, INC.

NEWEDGE FINANCIAL INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/5/2002

Series 63

Date: 11/7/1994

Series 7

Date: 11/3/1994

Series 3

Date: 7/19/1993

Current Firm

GENEVA FINANCIAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GENEVA FINANCIAL GROUP LLC

TRUST BUT VERIFY

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