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JG

Joseph M. Giordano

AEGIS CAPITAL
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2278341
JG

Professional summary

Joseph Michael Giordano is a registered financial professional currently at AEGIS CAPITAL CORP. located in Melville, New York and ACCEPTUS CAPITAL CORP. located in Port Washington, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 62, Series 14, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Joseph Michael Giordano's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 19, 2010 - Present

AEGIS CAPITAL CORP.

Office #1: 1305 Walt Whitman Rd Suite 120, Melville, NY 11747
RIA
BD
CRD#: 15007
Melville, NY
Current

November 30, 2016 - Present

ACCEPTUS CAPITAL CORP.

Office #1: 22 Country Club Drive, Port Washington, NY 11050
BD
CRD#: 282755
Port Washington, NY
Past

June 14, 2004 - March 2, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
FARMINGDALE, NY
Past

August 4, 2003 - June 10, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

September 25, 2002 - August 12, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 23, 1998 - September 27, 2002

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

November 4, 1997 - March 3, 1998

LUMIERE SECURITIES, INC.

BD
CRD#: 13414
DENVER, CO
Past

May 21, 1997 - August 29, 1997

TAJ GLOBAL EQUITIES, INC.

BD
CRD#: 31768
TAMPA, FL
Past

April 7, 1995 - May 1, 1997

TUSCANY EQUITY MANAGEMENT CORPORATI0N

BD
CRD#: 20016
DEERFIELD BEACH, FL
Past

March 4, 1994 - April 4, 1995

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH
Past

May 20, 1993 - March 4, 1994

CAMELOT INVESTMENT CORP.

BD
CRD#: 21925

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(7/23/2010)
RR
New York
(2/19/2010)
RR
Pennsylvania
(2/19/2010)
RR
Texas
(6/6/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/31/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 5/19/1993
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/13/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/17/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AC
ACCEPTUS CAPITAL CORP.
ACCEPTUS CAPITAL CORP.

CRD#: 282755 / SEC#: , 8-69734

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
22 Country Club Drive, Port Washington, NY 11050
Mailing Address
22 Country Club Drive, Port Washington, NY 11050
Phone number
(516) 236-0074
Established
New York since 09/11/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JPDLAP CORP.DIRECT OWNER
GIORDANO, JOSEPH MICHAELCHIEF EXECUTIVE OFFICER2278341
NIXON, JON ALANFINOP4710715
RAMOS, CESAR JRCCO3030824

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.

Company Information

ACCEPTUS CAPITAL CORP.

CRD#: 282755Melville, NY 11747

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