Juliette C. Saisselin
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.
Juliette Carole Saisselin, who also goes by Juliette Carole Riva, Juliette Saisselin, was a registered financial professional .
Juliette is a previously registered financial professional and started their career in finance in 1983. Juliette had worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2002 - January 26, 2024
GORDIAN KNOT INC.
July 12, 1999 - November 17, 2000
GE CAPITAL MARKETS, INC.
October 8, 1998 - March 17, 1999
CITIGROUP GLOBAL MARKETS INC.
February 25, 1988 - October 8, 1998
CITICORP SECURITIES, INC.
January 14, 1987 - July 20, 1987
UBS FINANCIAL SERVICES INC.
December 21, 1983 - December 10, 1986
MORGAN STANLEY & CO. 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GORDIAN KNOT INC.
CRD#: 118932 / SEC#: , 8-53706
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GORDIAN KNOT LIMITED | SHAREHOLDER | |
| GRIMM, LINDA STEINMANN | FINANCIAL/OPERATIONS PRINCIPAL | 1970620 |
| O'DONNELL, KIERAN JOHN | DIRECTOR | 6281922 |
| PARTRIDGEHICKS, RICHARD STEPHEN | DIRECTOR | 4491093 |
| SAISSELIN, JULIETTE CAROLE | PRINCIPAL | 1199239 |
| SAISSELIN, JULIETTE CAROLE | CHIEF COMPLIANCE OFFICER | 1199239 |
| SOSSIDIS, NICHOLAS J | DIRECTOR | 4491098 |
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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