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GM

Giorgio Mangione

LUCID CAPITAL MARKETS
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2331548
GM

Professional summary

Giorgio Mangione, who also goes by George Mangione, Mangione, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in Melville, New York.

Giorgio is registered as a RR (Registered Representative) and started their career in finance in 1993. Giorgio has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 16, Series 87, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Mangione | Mangione

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.
PL Acquisition (under MMAMANG 11762 LLC) - Passive investor in residential real estate/LLC Member - Investment Related: Yes -41 Watchung Plaza #514 Montclair, NJ 07042 - Hours Devoted: 0 - Start date : 12/11/20

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Giorgio Mangione'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

May 6, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 175 Pinelawn Road Suite 306, Melville, NY 11747
BD
CRD#: 140345
Melville, NY
Past

February 1, 2007 - May 7, 2024

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
MELVILLE, NY
Past

February 1, 2007 - May 7, 2024

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
MELVILLE, NY
Past

June 30, 2003 - February 1, 2007

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

May 25, 2001 - May 30, 2003

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

January 21, 1997 - November 19, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

August 3, 1993 - February 4, 1997

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY

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
Arizona
(5/29/2024)
RR
California
(5/29/2024)
RR
Connecticut
(5/29/2024)
RR
Florida
(5/29/2024)
RR
Illinois
(5/29/2024)
RR
Louisiana
(5/29/2024)
RR
Maryland
(5/29/2024)
RR
Massachusetts
(5/29/2024)
RR
New Jersey
(5/29/2024)
RR
New York
(5/29/2024)
RR
North Carolina
(5/29/2024)
RR
Ohio
(5/29/2024)
RR
Pennsylvania
(5/29/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/18/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/19/1993
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
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 16
Date: 7/24/2007
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 87
Date: 1/13/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 8/2/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/6/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/5/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 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#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures

Regulatory Event1

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

LUCID CAPITAL MARKETS, LLC

CRD#: 140345Melville, NY 11747

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