David Giannini

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CRD#: 2106170

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.

David Giannini, who also goes by David Ginnani, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1995. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Ginnani

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 5, 2013 - July 10, 2015

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

BELLE MEAD, NJ

Past

September 21, 2012 - July 7, 2015

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

Past

December 10, 2010 - March 23, 2012

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

ISELIN, NJ

Past

November 2, 2009 - November 30, 2010

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

PARSIPPANY, NJ

Past

April 2, 1998 - January 12, 2009

FRED ALGER & COMPANY, LLC

CRD#: 5300

NEW YORK, NY

Past

November 21, 1995 - March 6, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/23/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/2007

General Securities Principal Examination

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

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Contact information

Main Address

2300 North Ridgetop Road, Santa Fe, NM 87506

Mailing Address

Phone number

(505) 467-7283

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE MARCH 31, 2022 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	705
AUM (Assets Under Management)	$ 45,288,445,586

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.

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Firm Stability Insights

David Giannini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THORNBURG SECURITIES LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

NYLIFE DISTRIBUTORS LLC

FRED ALGER & COMPANY, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THORNBURG INVESTMENT MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/23/2013

Series 63

Date: 12/18/1995

SIE

Date: 7/7/2015

Series 7

Date: 11/20/1995

Series 24

Date: 1/20/2007

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THORNBURG INVESTMENT MANAGEMENT INC

TRUST BUT VERIFY

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