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EG

Emmanuel G. Gennuso

Some features on this profile are disabled
CRD#: 867580
EG

Professional summary

Emmanuel George Gennuso 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.

Emmanuel is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, Emmanuel had worked at 12 firms, which includes WINCHESTER INVESTMENT SECURITIES INC., MEYERS POLLOCK ROBBINS INC., MONITOR INVESTMENT GROUP INC., COMMONWEALTH ASSOCIATES, J.P. MORGAN SECURITIES LLC, SECURITIES SETTLEMENT CORPORATION, LEWCO SECURITIES CORP., PRUDENTIAL EQUITY GROUP LLC, FIDATA BROKERAGE INCORPORATED, WALSH GREENWOOD & CO., UBS FINANCIAL SERVICES INC., BLYTH EASTMAN DILLON & CO. INCORPORATED.

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

November 18, 1996 - April 2, 1997

WINCHESTER INVESTMENT SECURITIES, INC.

BD
CRD#: 28543
OVERLAND PARK, KS
Past

July 24, 1996 - September 25, 1996

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

September 14, 1995 - July 25, 1996

MONITOR INVESTMENT GROUP, INC.

BD
CRD#: 31007
Past

January 10, 1992 - September 25, 1995

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

March 15, 1991 - June 17, 1991

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

March 23, 1989 - March 1, 1991

SECURITIES SETTLEMENT CORPORATION

BD
CRD#: 7129
ISLIP, NY
Past

November 20, 1986 - April 12, 1988

LEWCO SECURITIES CORP.

BD
CRD#: 6661
JERSEY CITY, NJ
Past

February 21, 1986 - December 5, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

May 17, 1983 - August 20, 1986

FIDATA BROKERAGE INCORPORATED

BD
CRD#: 8078
Past

April 1, 1980 - May 19, 1983

WALSH, GREENWOOD & CO.

BD
CRD#: 8068
Past

January 31, 1980 - March 8, 1980

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

June 21, 1979 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361

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: 12/21/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/16/1995
General Securities Principal Examination

Current Firm

WI
WINCHESTER INVESTMENT SECURITIES, INC.
BIRCHTREE FINANCIAL ADVISORS, INC. | WINCHESTER INVESTMENT SECURITIES, INC.

CRD#: 28543 / SEC#: , 8-43971

BD
Terminated by SEC on 12/15/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Kansas since 01/25/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MILLER, ALAN BARRYPRESIDENT\SROP1106694
CORCORAN, MARK COXCFO\CCO\CROP4395718

Disclosures

Regulatory Event3
Arbitration1

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

WINCHESTER INVESTMENT SECURITIES, INC.

CRD#: 28543

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