Michael Genovese
Professional summary
Michael Genovese was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael Genovese, who also goes by Michael Joseph Genovese, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 15 firms and has passed the Series 63, SIE 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 2, 2015 - September 13, 2016
LAIDLAW & COMPANY (UK) LTD.
August 12, 2011 - February 11, 2015
ROCKWELL GLOBAL CAPITAL LLC
July 6, 2011 - August 15, 2011
GLOBAL ARENA CAPITAL CORP
January 21, 2009 - September 7, 2010
NATIONAL SECURITIES CORPORATION
October 17, 2008 - February 13, 2009
FIRST MIDWEST SECURITIES, INC.
February 13, 2008 - October 17, 2008
J.P. TURNER & COMPANY, L.L.C.
July 7, 2006 - January 31, 2008
NEWBRIDGE SECURITIES CORPORATION
March 23, 2006 - July 7, 2006
WESTROCK ADVISORS, INC.
February 28, 2005 - March 29, 2006
GUNNALLEN FINANCIAL, INC
February 24, 2004 - March 8, 2005
S.W. BACH & COMPANY
November 5, 2003 - March 9, 2004
JOSEPH STEVENS & CO., INC.
November 20, 2002 - November 19, 2003
LADENBURG THALMANN & CO. INC.
October 15, 1998 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
May 21, 1998 - September 15, 1998
JOSEPHTHAL & CO., INC.
March 23, 1998 - May 29, 1998
GLOBAL CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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