Roman B. Genov
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.
Roman Boris Genov was a registered financial professional .
Roman is a previously registered financial professional and started their career in finance in 2002. Roman had worked at 4 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
July 17, 2014 - November 12, 2014
J.H. DARBIE & CO., INC.
July 13, 2011 - August 9, 2012
POINTE ATLANTIC, INC
April 8, 2008 - May 14, 2008
J.H. DARBIE & CO., INC.
November 7, 2005 - September 13, 2006
THOR CAPITAL LLC
October 16, 2002 - October 27, 2005
J.H. DARBIE & CO., INC.
May 9, 2002 - October 3, 2002
PHD CAPITAL
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
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| 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.
