Thomas Giandoreggio

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CRD#: 2238802

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.

Thomas Giandoreggio, who also goes by Thomas Joseph Giandoreggio Jr, Thomas Joseph Giandoreggio, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Joseph Giandoreggio Jr | Thomas Joseph Giandoreggio

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

July 7, 2021 - August 19, 2024

ALLY INVEST SECURITIES LLC

CRD#: 136131

CHARLOTTE, NC

Past

October 13, 2020 - November 10, 2020

BROWNSTONE INVESTMENT GROUP, LLC

CRD#: 43884

NEW YORK, NY

Past

April 22, 2008 - June 8, 2020

BEDROK SECURITIES LLC

CRD#: 13134

RYE, NY

Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

October 15, 1992 - March 28, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 13, 1992 - November 23, 1992

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

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.

Exams

State Security Law Exam

Series 63

Date: 7/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/26/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 3/15/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/30/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/12/1997

General Securities Principal Examination

Current Firm

ALLY INVEST SECURITIES LLC

ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.

CRD#: 136131 / SEC#: , 8-66982

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

601 S Tryon Street Suite 100, Charlotte, NC 28202

Mailing Address

P.o. Box 30248, Charlotte, NC 28230

Phone number

(855) 880-2559

Established

Delaware since 08/23/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALLY INVEST GROUP INC.	OWNER
LIETKE, FRANK GREGORY	PRESIDENT	6900716
MARTIN, ALEX MICHAEL	PRINCIPAL FINANCIAL OFFICER	5639666
POWELL, BENJAMIN TRACY	PRINCIPAL OPERATIONS OFFICER	2438200
SYKES, ROBERT CHRISTOPHER	CHIEF COMPLIANCE OFFICER	2775993

Disclosures

Regulatory Event	2
Arbitration	1

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

Thomas Giandoreggio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROWNSTONE INVESTMENT GROUP, LLC

BEDROK SECURITIES LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/21/1994

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 7/26/2000

Series 3

Date: 3/15/1995

Series 7

Date: 6/30/1992

Series 24

Date: 7/12/1997

Current Firm

ALLY INVEST SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLY INVEST SECURITIES LLC

TRUST BUT VERIFY

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