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Cynthia Giannatasio

PLP CAPITAL
ORLANDO, FL
·CRD# 2009193·37 years experience

Professional Summary

Cynthia Giannatasio, who also goes by Cynthia Goger, is a registered financial advisor currently at PLP CAPITAL located in Orlando, Florida. Cynthia is registered as a RR (Registered Representative) and started their career in finance in 1989. Cynthia has worked at 3 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 3, Series 7, Series 24, Series 4 and Series 53 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Cynthia Goger

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

PLP CAPITAL·CRD# 38901
BD
10243 Mattraw Place, Orlando, FL 32836
October 1, 2014 - Present
BRAVER STERN SECURITIES LLC·CRD# 29108
BD
New York, NY
May 14, 2001 - October 1, 2014
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
November 16, 1989 - June 6, 2001

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Current Firm

PC
PLP CAPITAL

BCS BROKERAGE, INC. | TRIBAL CAPITAL MARKETS, LLC | PLP CAPITAL, LLC | PLP CAPITAL | BLUE CAPITAL SECURITIES, INC.

CRD#: 38901 / SEC#: 8-48460
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

10243 Mattraw Place, Orlando, FL 32836

Mailing Address

10243 Mattraw Place, Orlando, FL 32836

Phone Number

(212) 376-7492

Established

Delaware since 04/20/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (21 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PLP CAPITAL, LLCMEMBER—
HARRIS, PATRICK EUGENECCO5748909
LAPIETRA, PETERCEO2273197
OCHOJSKI, GREGORY ANDREFINOP4705726

Disclosures

Regulatory Event

2

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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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(10/1/2014)
RR
Connecticut
(10/1/2014)
RR
Florida
(10/1/2014)
RR
New Jersey
(10/1/2014)
RR
New York
(10/1/2014)

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 Dec 1990About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Mar 1998About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Dec 1990About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2016About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Sep 2009About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Feb 2009About the Series 53 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Cynthia Giannatasio's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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