John V. Genna
Professional summary
John Vincent Genna JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, John had worked at 6 firms, which includes ARJENT LTD., PREFERRED SECURITIES GROUP INC., SANDGRAIN SECURITIES LLC, GLOBAL CAPITAL MARKETS LLC, FIRST LIBERTY INVESTMENT GROUP INC., BLUESTONE CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2002 - August 6, 2007
ARJENT LTD.
August 21, 2001 - January 23, 2002
PREFERRED SECURITIES GROUP, INC.
January 17, 2001 - June 25, 2001
SANDGRAIN SECURITIES LLC
December 3, 1997 - January 2, 2001
GLOBAL CAPITAL MARKETS, LLC
September 9, 1997 - December 15, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
April 7, 1997 - August 20, 1997
BLUESTONE CAPITAL CORP.
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
ARJENT LTD.
CRD#: 35909 / SEC#: , 8-46922
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARJENT SERVICES LIMITED (UK) | OWNER | |
| DAVANZO, GEORGE | FINOP/CFO | 1866674 |
| DEPALO, ROBERT PHILIP | CHAIRMAN/CEO/SECY/CORP. DIRECTOR | 2946313 |
| DIFIORE, MONICA LISA | CCO | 2966552 |
| FALLAH, ROBERT BOBAK | CO-CHAIRMAN/PRESIDENT/DIRECTOR CORPORATE FINANCE | 1069032 |
| HEINEMAN, RONALD MARK | MANAGING DIRECTOR/CROP/SROP/MUNI PRINCIPAL | 241924 |
| SCHONWALD, GARY ALAN | TREASURER/CORPORATE DIRECTOR | 4478897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
