Henry J. Gioiella
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.
Henry Joseph Gioiella JR was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1974. Henry had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 5, PC, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2009 - January 11, 2016
THE WILLIAMS CAPITAL GROUP, L.P.
December 17, 2007 - June 29, 2009
DOMINARI SECURITIES LLC
October 13, 1995 - December 17, 2007
CANTOR FITZGERALD & CO.
August 19, 1994 - July 6, 1995
DOMINICK & DICKERMAN LLC
October 27, 1992 - June 3, 1994
REPUBLIC NEW YORK SECURITIES CORPORATION
September 26, 1978 - March 27, 1992
LEHMAN BROTHERS INC.
March 25, 1974 - July 14, 1978
KIDDER, PEABODY & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/3/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 11/18/1981
Interest Rate Options ExaminationPC
Date: 5/16/1977
AMEX Put and Call ExamSeries 1
Date: 3/21/1974
Registered Representative ExaminationCurrent Firm
THE WILLIAMS CAPITAL GROUP, L.P.
CRD#: 35149 / SEC#: , 8-46623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, CHRISTOPHER JUDSON | CHAIRMAN,CEO,LTD PARTNER | 1335377 |
| THE WILLIAMS CAPITAL GROUP, INC. | GENERAL PARTNER | |
| LEVIN, JONATHAN WILLIAM | MANAGING DIRECTOR, LTD PARTNER | 1312315 |
| CALABRISOTTO, DIANNE | LIMITED PARTNER | 1273900 |
| CALABRISOTTO, DIANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1273900 |
| CALABRISOTTO, DIANNE | CCO, CAO | |
| CALABRISOTTO, DIANNE | CHIEF OPERATING OFFICER | 1273900 |
| CARL, STEPHEN JULIUS | SROP, CROP, ASSISTANT VICE PRESIDENT OF THE WILLIAMS CAPITAL GROUP, INC, THE GENERAL PARTNER OF THE WILLIAMS CAPITAL GROUP, L.P. | 1542098 |
| COARD, DAVID ANTHONY | LIMITED PARTNER | 1633685 |
| FINKELSTEIN, DAVID ANDREW | LIMITED PARTNER | 1056495 |
| WO, PATRICK C | CHIEF FINANCIAL OFFICER, FINOP | 1978566 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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