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Greg Paul Giordano

CRD# 1901233·Registered 1988 - 2013
Previously Registered: Being a previously registered professional could mean that Greg 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.

Professional Summary

Greg Paul Giordano was a registered financial advisor. Greg was a previously registered financial professional and started their career in finance 1988 - 2013. Greg had worked at 15 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

HIGH STREET SECURITIES, INC.·CRD# 104201
BD
Hot Springs, AR
August 21, 2013 - December 31, 2013
MIDAMERICA FINANCIAL SERVICES, INC.·CRD# 47351
BD
Joplin, MO
December 3, 2009 - August 11, 2011
VOYA FINANCIAL ADVISORS, INC.·CRD# 2882
BD
Jersey City, NJ
July 10, 2006 - December 31, 2007
AURA FINANCIAL SERVICES, INC.·CRD# 42822
BD
Birmingham, AL
April 8, 2003 - July 13, 2004
HAPOALIM SECURITIES USA, INC.·CRD# 266
BD
New York, NY
November 8, 2000 - April 18, 2001
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
November 14, 1997 - November 21, 2000
HAMPSHIRE SECURITIES CORPORATION·CRD# 19725
BD
New York, NY
May 13, 1997 - November 3, 1997
CONTINENTAL BROKER-DEALER CORP.·CRD# 14048
BD
Carle Place, NY
February 21, 1997 - May 21, 1997
AMERICORP SECURITIES, INC.·CRD# 30405
BD
New York, NY
July 29, 1993 - March 4, 1997
M.S. FARRELL & COMPANY, INC.·CRD# 24232
BD
Syosset, NY
September 10, 1992 - May 25, 1993
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
December 23, 1991 - September 11, 1992
J. GREGORY & COMPANY, INC.·CRD# 14892
BD
October 22, 1991 - November 13, 1991
MANCHESTER RHONE SECURITIES CORP.·CRD# 15886
BD
January 29, 1990 - October 31, 1991
J. T. MORAN & CO., INC.·CRD# 15655
BD
March 21, 1989 - February 17, 1990
J. W. GANT & ASSOCIATES, INC.·CRD# 7963
BD
December 20, 1988 - April 14, 1989

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Current Firm

HS
HIGH STREET SECURITIES, INC.

EXPRSS SECURITIES, INC. | HIGH STREET SECURITIES, INC.

CRD#: 104201 / SEC#: 8-52657
BD
Terminated by SEC on 01/12/2014

Contact Information

Established

Arkansas since 03/20/2000

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HIGH STREET ASSET MANAGEMENT, LLCOWNER—
GRAFF, PAUL RICHARDGENERAL SECURITIES PRINCIPAL - ASS'T TO DP1355392
TERRY, JOHN LUDLOW IIICHIEF FINANCIAL OFFICER1972803
TERRY, JOHN LUDLOW IIICHIEF EXECUTIVE OFFICER, PRESIDENT & EXECUTIVE REPRESENTATIVE, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER1972803

Disclosures

Regulatory Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1989About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1988About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 1995About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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