Paul C. 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.
Paul Charles Giordano was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2020 - August 23, 2021
J. ALDEN ASSOCIATES, INC.
May 5, 2015 - November 23, 2020
LION STREET FINANCIAL, LLC
October 5, 2012 - October 30, 2014
MANOR HOUSE CAPITAL LLC
August 5, 1997 - January 2, 2001
NEWEDGE USA, LLC
March 3, 1997 - August 19, 1997
INTERCAPITAL GOVERNMENT SECURITIES INC.
February 24, 1997 - August 19, 1997
EXCO RMJ INTERNATIONAL INC.
May 29, 1996 - August 12, 1996
BARCLAYS CAPITAL INC.
April 11, 1992 - February 6, 1996
MERRILL LYNCH GOVERNMENT SECURITIES INC.
November 12, 1990 - February 6, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
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.
