Christopher H. Giordano
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.
Christopher Henry Giordano was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1982. Christopher had worked at 8 firms and has passed the Series 63, Series 7, Series 52 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 1992 - September 16, 1993
M.S. FARRELL & COMPANY, INC.
March 10, 1992 - May 13, 1992
J. GREGORY & COMPANY, INC.
April 5, 1990 - October 31, 1991
MANCHESTER RHONE SECURITIES CORP.
May 24, 1988 - January 25, 1990
UBS FINANCIAL SERVICES INC.
July 7, 1986 - June 2, 1988
CITIGROUP GLOBAL MARKETS INC.
December 12, 1984 - July 25, 1986
E. F. HUTTON & COMPANY INC
September 12, 1983 - November 14, 1984
UBS FINANCIAL SERVICES INC.
November 26, 1982 - August 3, 1983
DONALD SHELDON & CO., INC.
April 13, 1982 - August 30, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
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
M.S. FARRELL & COMPANY, INC.
CRD#: 24232 / SEC#: , 8-41157
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M.S. FARRELL HOLDINGS, INC. | OWNS APPLICANT | |
| DRAGON, THEODORE JOSEPH | DIRECTOR OF COMPLIANCE | 2831853 |
| GALLO, THOMAS ANTHONY | CHIEF EXECUTIVE OFFICER | 1705791 |
| NEUHAUS, LEONARD ALAN | CHIEF FINANCIAL OFFICER | 1871294 |
| REMPEL, BRENDAN CHRISTOPHER | PRESIDENT | 2121458 |
| SCHACKER, KEITH STUART | CHIEF OPERATING OFFICER/SROP/CROP | 1392793 |
| SCHACKER, MARTIN FARRELL | CHAIRMAN | 1133567 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
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.
