Genevieve R. Carpente-kopanos
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.
Genevieve Rebecca Carpente-kopanos, who also goes by Genevieve Rebecca Carpente, was a registered financial professional .
Genevieve is a previously registered financial professional and started their career in finance in 1996. Genevieve had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 3 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
November 8, 2021 - November 8, 2023
SCOTIA CAPITAL (USA) INC.
May 20, 2014 - November 8, 2021
BMO CAPITAL MARKETS CORP.
June 8, 2010 - May 2, 2014
KGS-ALPHA CAPITAL MARKETS, L.P.
March 10, 2006 - March 1, 2010
ICP SECURITIES LLC
August 16, 2005 - October 25, 2005
PERSHING LLC
May 30, 2003 - August 10, 2005
MORGAN STANLEY & CO. LLC
November 8, 2000 - November 7, 2001
PRUDENTIAL EQUITY GROUP, LLC
January 28, 1997 - October 13, 2000
CITIGROUP GLOBAL MARKETS INC.
July 31, 1996 - September 27, 1996
DUKE & 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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