Gina R. 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.
Gina Renee Giordano, who also goes by Gina Renee Scafidi, was a registered financial professional .
Gina is a previously registered financial professional and started their career in finance in 1999. Gina had worked at 5 firms and has passed the Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2009 - October 26, 2009
W.A. CAPITAL MARKETS
May 10, 2006 - March 31, 2009
HALCYON CABOT PARTNERS, LTD.
April 28, 2003 - May 5, 2006
INTEGRA SECURITIES CORP.
January 22, 2003 - May 7, 2003
BRUNO, RICHARD ALFONSO
September 13, 1999 - January 8, 2003
HAPOALIM SECURITIES USA, 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
Series 7A
Date: 9/3/2002
Floor Broker Representative ExamSeries 25
Date: 11/9/1999
NYSE Trading Assistant ExaminationCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
