Michael A. 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.
Michael Anthony Giordano JR was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 20 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2006 - May 1, 2007
LEGEND MERCHANT GROUP, INC.
February 29, 2000 - April 27, 1998
MORGENTHAU & ASSOCIATES, INC.
July 30, 1996 - April 27, 1998
MORGENTHAU & ASSOCIATES, INC.
November 17, 1993 - January 28, 1994
ROYAL PALM INVESTMENTS, LTD.
June 7, 1993 - October 13, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 22, 1992 - June 8, 1993
JOSEPHTHAL & CO., INC.
June 21, 1991 - June 8, 1992
CHATFIELD DEAN & CO., INC.
May 17, 1991 - June 21, 1991
MAYFAIR SECURITIES LIMITED
May 2, 1991 - May 22, 1991
SCHNEIDER SECURITIES, INC.
March 5, 1990 - April 5, 1991
FINANCIAL EQUITIES RESOURCES, INC.
February 9, 1990 - March 5, 1990
BAILEY, MARTIN & APPEL, INC.
August 25, 1989 - December 20, 1989
VANDERBILT SECURITIES, INC.
June 20, 1989 - September 9, 1989
RAYMOND JAMES & ASSOCIATES, INC.
October 25, 1988 - June 20, 1989
HUBERMAN SECURITIES CORP.
May 9, 1988 - July 17, 1989
EQUITIES INTERNATIONAL SECURITIES, INC.
December 2, 1987 - May 16, 1988
GREENTREE SECURITIES CORP.
September 28, 1987 - December 16, 1987
GRAYSTONE NASH, INC.
May 21, 1987 - October 7, 1987
BRADSTREET CAPITAL, INC.
April 8, 1986 - April 10, 1987
THE STUART-JAMES COMPANY, INCORPORATED
January 31, 1985 - April 9, 1986
BLINDER, ROBINSON & CO., INC.
May 4, 1984 - October 8, 1984
BAP MANAGEMENT CORPORATION
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
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
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.
