Charles Francis Giordano
Professional Summary
Charles Francis Giordano, who also goes by Charles F Giordano, is a registered financial advisor currently at THINKEQUITY LLC located in New York, New York. Charles is registered as a RR (Registered Representative) and started their career in finance in 1991. Charles has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles F Giordano
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Videos & Posts
This advisor has not added any videos or posts yet.
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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
35 years in the financial services industry
Current & Past Employments
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Current Firm
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKSTERN VENTURES | THINKSTERN | THINKEQUITY LLC
Contact Information
Main Address
17 State Street 41st Floor, New York, NY, 10004Mailing Address
17 State Street 41st Floor, New York, NY, 10004Phone Number
(212) 732-8500Established
Delaware since 08/13/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | — |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, OPTIONS PRINCIPAL, | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| NASH, KELLY | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 3017718 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
Regulatory Event
8Arbitration
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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
(4/1/1997)
(4/4/1997)
(3/28/1997)
(4/1/1997)
(3/26/1997)
(3/31/1997)
(4/3/1997)
(3/27/1997)
(3/27/1997)
(3/31/1997)
(4/1/1997)
(4/9/1998)
(3/28/1997)
(4/7/1997)
(1/6/1998)
(3/28/1997)
(4/15/1997)
(4/14/1997)
(3/27/1997)
(10/31/2007)
(4/1/1997)
(4/7/1997)
(4/8/1997)
(4/1/1997)
(3/27/1997)
(4/30/1997)
(3/27/1997)
(1/21/1999)
(4/2/1997)
(8/24/2018)
(5/2/1997)
(3/28/1997)
(3/31/1997)
(4/2/1997)
(4/24/2002)
(3/26/1997)
(3/31/1997)
(3/26/1997)
(3/31/1997)
(8/7/2007)
(4/3/1997)
(4/1/1997)
(4/16/1997)
(1/25/2021)
(9/23/1997)
(8/22/2018)
(7/31/2018)
(9/10/2007)
(3/27/1997)
(3/27/1997)
(4/1/1997)
(7/29/1997)
(1/21/1999)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charles Francis Giordano's CRS (Customer Relationship Summary).
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