Emanuel R. Giglio
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.
Emanuel Richard Giglio, who also goes by Rich Giglio, was a registered financial professional .
Emanuel is a previously registered financial professional and started their career in finance in 1996. Emanuel had worked at 6 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2009 - November 9, 2011
PRIMEX
February 9, 2006 - April 6, 2009
K-ONE INVESTMENT COMPANY, INC.
March 24, 2004 - March 1, 2006
INDEPENDENT FINANCIAL GROUP, LLC
February 13, 2004 - March 31, 2004
OMNI BROKERAGE, INC.
December 17, 1996 - December 14, 1998
HORNOR, TOWNSEND & KENT, LLC
July 17, 1996 - October 25, 1996
OSAIC FS, 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
PRIMEX
CRD#: 29394 / SEC#: , 8-44331
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANTAGE TRADING LLC | OWNER | |
| FELIX, WILFREDO JR | CEO, CCO, PRINCIPAL, FINOP, DIRECTOR | 2693672 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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.
