Emanuel T. Roa
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.
Emanuel Tomas Roa, who also goes by Emanual Roa, Manny T Roa, Manny Roa, was a registered financial professional .
Emanuel is a previously registered financial professional and started their career in finance in 2019. Emanuel had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2025 - September 29, 2025
MAINSAIL FINANCIAL GROUP
July 29, 2021 - February 6, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 17, 2021 - February 6, 2025
FIDELITY BROKERAGE SERVICES LLC
August 19, 2020 - January 22, 2021
HORNOR, TOWNSEND & KENT, LLC
September 9, 2019 - January 22, 2021
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
MAINSAIL FINANCIAL GROUP
CRD#: 317970 / SEC#: 801-123307
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
Series 7TO
Date: 9/9/2019
General Securities Representative ExaminationCurrent Firm
MAINSAIL FINANCIAL GROUP
CRD#: 317970 / SEC#: 801-123307
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 892 |
| AUM (Assets Under Management) | $ 268,191,466 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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