Richard Genao
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.
Richard Genao, who also goes by Rich Genao, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 7 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
February 1, 2012 - December 10, 2012
PHD CAPITAL
April 15, 2010 - February 3, 2012
STONEX SECURITIES INC.
July 15, 2009 - April 6, 2010
FIRST MIDWEST SECURITIES, INC.
June 20, 2005 - August 14, 2009
ITRADEDIRECT.COM CORP
April 26, 2002 - June 15, 2005
GUNNALLEN FINANCIAL, INC
September 10, 1998 - May 16, 2002
SEABOARD SECURITIES, INC.
August 14, 1998 - September 8, 1998
SEABOARD SECURITIES, INC.
September 16, 1996 - September 9, 1998
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PHD CAPITAL
CRD#: 38785 / SEC#: , 8-48403
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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