Aaron S. Geraci
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.
Aaron Salvatore Geraci was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1993. Aaron had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2004 - February 28, 2005
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
September 7, 2001 - April 11, 2002
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
October 7, 1999 - October 19, 1999
LCP CAPITAL CORP.
March 24, 1998 - July 13, 1998
BARRON CHASE SECURITIES, INC.
June 6, 1997 - February 23, 1998
M.S. FARRELL & COMPANY, INC.
October 16, 1996 - October 18, 1996
JOSEPH ROBERTS & CO., INC.
July 8, 1996 - September 20, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
May 1, 1995 - May 16, 1995
CORTLANDT CAPITAL CORPORATION
February 13, 1995 - March 27, 1995
BARRON CHASE SECURITIES, INC.
October 5, 1994 - January 20, 1995
H.J. MEYERS & CO., INC.
September 22, 1994 - November 2, 1994
BARRON CHASE SECURITIES, INC.
December 3, 1993 - January 10, 1994
H.J. MEYERS & 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
Current Firm
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
CRD#: 2438 / SEC#: , 8-27504
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KIMBALL & CROSS WEB CAPITAL, INC. | HOLDING COMPANY | |
| HUDSON VALLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| CLIFFORD, JOHN CHANDLER | DIRECTOR, CFO, CCO, FIN/OP, CROP/ROP, GEN. SECURITIES PRIN. | 2249584 |
| DOLLER, CHARLES WILLIAM III | DIRECTOR | 2389795 |
| GILLIS, MARK JOSEPH | DIRECTOR | 2381496 |
| LAINE, RICHARD REINO JR | DIRECTOR, PRESIDENT, CEO, GENERAL SECURITIES PRINCIPAL | 2640877 |
| TOBIN, JOHN EDWARD | DIRECTOR, TREASURER, GENERAL SECURITIES PRINCIPAL | 2337695 |
Disclosures
| Regulatory Event | 4 |
| 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.
