Joao P. Santos
Professional summary
Joao Pedro Santos was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joao is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Joao had worked at 2 firms, which includes FIRST LIBERTY INVESTMENT GROUP INC., JEFFERSON GERSCH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 1997 - June 28, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
June 26, 1997 - December 9, 1997
JEFFERSON GERSCH, 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
FIRST LIBERTY INVESTMENT GROUP, INC.
CRD#: 3536 / SEC#: , 8-6824
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMONWEALTH INV. GRP | OWNER | |
| EMINENTE, CHRISTIAN LUCIANO | EXEC. VP | 2109308 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 10 |
Red Flags
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