Joseph G. Giattino
Professional summary
Joseph Gerard Giattino is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1989. Joseph has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Gerard Giattino's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 22, 2024 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017March 13, 2013 - July 26, 2024
COWEN AND COMPANY
January 18, 2013 - July 26, 2024
TD ARRANGED SERVICES LLC
February 5, 2009 - March 15, 2013
ATM
September 23, 2008 - January 2, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
June 23, 2000 - June 17, 2008
DEUTSCHE BANK SECURITIES INC.
January 1, 1995 - June 21, 2000
J.P. MORGAN SECURITIES LLC
January 27, 1994 - December 13, 1994
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 3, 1991 - August 10, 1993
CIBC WORLD MARKETS CORP.
February 6, 1990 - June 12, 1990
VANDERBILT SECURITIES, INC.
September 19, 1989 - February 15, 1990
J. T. MORAN & CO., 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
(8/22/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/20/2005
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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