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JE

John E. Emmanuel

Some features on this profile are disabled
CRD#: 4660021
JE

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.

John Edward Emmanuel was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2003. John had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 22, 2020 - January 3, 2022

MALLORY CAPITAL GROUP, LLC

BD
CRD#: 108486
DARIEN, CT
Past

April 21, 2017 - April 18, 2018

CRITO CAPITAL LLC

BD
CRD#: 161724
WESTPORT, CT
Past

September 4, 2007 - May 14, 2015

MALLORY CAPITAL GROUP, LLC

BD
CRD#: 108486
DARIEN, CT
Past

May 23, 2007 - June 15, 2007

CENTENIUM ADVISORS, LLC

BD
CRD#: 135778
NEW YORK, NY
Past

May 15, 2003 - April 4, 2005

CS SECURITIES, INC.

BD
CRD#: 40685
MALIBU, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/2003
General Securities Representative Examination

Current Firm

MC
MALLORY CAPITAL GROUP, LLC
MALLORY CAPITAL GROUP, LLC

CRD#: 108486 / SEC#: , 8-53084

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
62 Deepwood Road, Ste. 204, Darien, CT 06820
Mailing Address
62 Deepwood Road, Ste. 204, Darien, CT 06820
Phone number
(203) 655-1571
Established
Connecticut since 12/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ENGINE SECURITIES MANAGERS LLCOWNER
BURNAT, ROBERT MARKFINOP1262266
WEYMANN, ALBERT CONRAD IIIPRESIDENT (12/2000), CCO (11/2004)1248304

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.

Company Information

MALLORY CAPITAL GROUP, LLC

CRD#: 108486

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