Scott 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.
Scott Robert Giordano was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1988. Scott had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, 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 5, 2023 - June 10, 2025
MORGAN STANLEY
March 10, 2023 - June 10, 2025
MORGAN STANLEY
September 24, 2012 - September 5, 2023
HARRISDIRECT LLC
September 24, 2012 - September 5, 2023
E*TRADE SECURITIES LLC
March 3, 2011 - April 27, 2012
LPL FINANCIAL LLC
February 25, 2011 - April 27, 2012
LPL FINANCIAL LLC
October 23, 2009 - March 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 24, 2006 - June 13, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 10, 2005 - June 13, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 2, 2001 - January 21, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
February 2, 1994 - March 15, 2001
ICBA FINANCIAL SERVICES CORPORATION
May 21, 1993 - February 11, 1994
CITIGROUP GLOBAL MARKETS INC.
January 14, 1991 - June 1, 1993
UBS FINANCIAL SERVICES INC.
November 23, 1988 - January 25, 1991
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
