Anthony R. Giardina
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.
Anthony Richard Giardina was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1985. Anthony had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
September 20, 2021 - August 16, 2022
TP ICAP GLOBAL MARKETS AMERICAS LLC
January 3, 2011 - September 20, 2021
TULLETT PREBON FINANCIAL SERVICES LLC
August 1, 2000 - January 18, 2011
NEWEDGE USA, LLC
November 12, 1998 - August 1, 2000
COWEN AND COMPANY
July 13, 1998 - October 28, 1998
INTERCAPITAL INTERNATIONAL INC.
August 26, 1996 - July 13, 1998
EXCO RMJ INTERNATIONAL INC.
November 5, 1990 - August 5, 1996
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 19, 1985 - September 27, 1990
KMS CORPORATE BROKERS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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