Joseph A. Giordano
Professional summary
Joseph Anthony Giordano 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.
Joseph is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Joseph had worked at 5 firms, which includes WINDSOR STREET CAPITAL LP, CAPITAL INVESTMENT GROUP INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CHARLES SCHWAB & CO. INC., FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2012 - July 12, 2013
WINDSOR STREET CAPITAL, LP
October 5, 1992 - June 21, 2012
CAPITAL INVESTMENT GROUP, INC.
April 4, 1991 - April 7, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 1986 - February 25, 1991
CHARLES SCHWAB & CO., INC.
July 23, 1985 - October 7, 1985
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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