Enrico J. 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.
Enrico Joseph Giordano, who also goes by Enrico Giordano, Rico Joseph Giordano, Rico Giordano, was a registered financial professional .
Enrico is a previously registered financial professional and started their career in finance in 1984. Enrico had worked at 17 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 1993 - April 14, 1993
WILLIAM & CO. CAPITAL MARKETS LTD.
January 22, 1993 - February 4, 1993
BURNETT, GREY & CO., INC.
November 18, 1991 - December 31, 1992
FIRST NEW ENGLAND SECURITIES CORPORATION
July 16, 1991 - August 21, 1991
CHATFIELD DEAN & CO., INC.
May 24, 1991 - June 21, 1991
MAYFAIR SECURITIES LIMITED
March 20, 1991 - May 22, 1991
SCHNEIDER SECURITIES, INC.
March 5, 1990 - April 5, 1991
FINANCIAL EQUITIES RESOURCES, INC.
February 13, 1990 - March 5, 1990
BAILEY, MARTIN & APPEL, INC.
September 6, 1989 - January 11, 1990
VANDERBILT SECURITIES, INC.
June 12, 1989 - September 9, 1989
RAYMOND JAMES & ASSOCIATES, INC.
November 11, 1988 - May 30, 1989
HUBERMAN SECURITIES CORP.
March 16, 1988 - December 23, 1988
F.D. ROBERTS SECURITIES, INC.
January 4, 1988 - April 6, 1988
GREENTREE SECURITIES CORP.
October 25, 1985 - February 2, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
October 9, 1985 - October 21, 1985
THE STUART-JAMES COMPANY, INCORPORATED
March 20, 1985 - October 14, 1985
TIJA MANAGEMENT, INC.
September 8, 1984 - November 16, 1984
CHESLEY AND DUNN, INC.
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
WILLIAM & CO. CAPITAL MARKETS LTD.
CRD#: 8382 / SEC#: , 8-25392
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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