JG
Julie A. Giardina
CANTOR FITZGERALD & CO.
New York, NY 10022
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CRD#: 2585227
JG
Professional summary
Julie Ann Giardina is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
Julie is registered as a RR (Registered Representative) and started their career in finance in 1997. Julie has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Julie Ann Giardina's 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®
NoneExperience
Current
March 3, 2008 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022Office #2: 1 Jericho Plaza 2nd Floor, Jericho, NY 11753BD
CRD#: 134
New York, NY
Past
July 3, 2006 - January 3, 2008
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
NEW YORK, NY
Past
March 30, 2005 - July 12, 2006
INTERCAPITAL SECURITIES LLC
BD
CRD#: 20004
JERSEY CITY, NJ
Past
November 1, 2004 - April 4, 2005
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
November 17, 2003 - November 1, 2004
BONDS DIRECT SECURITIES LLC
BD
CRD#: 112297
NEW YORK, NY
Past
September 3, 2003 - November 13, 2003
INTERCAPITAL SECURITIES LLC
BD
CRD#: 20004
JERSEY CITY, NJ
Past
November 1, 2002 - September 3, 2003
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
NEW YORK, NY
Past
December 21, 2001 - November 14, 2002
ZIONS DIRECT, INC.
BD
CRD#: 17776
SALT LAKE CITY, UT
Past
July 7, 2000 - August 23, 2001
VISIBLE MARKETS, INC.
BD
CRD#: 103842
BOSTON, MA
Past
May 28, 1997 - June 22, 2000
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
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
Alabama(7/30/2008)
RR
Alaska(7/30/2008)
RR
Arizona(11/20/2012)
RR
Arkansas(7/30/2008)
RR
California(7/30/2008)
RR
Colorado(7/30/2008)
RR
Connecticut(7/30/2008)
RR
Delaware(7/30/2008)
RR
District of Columbia(7/30/2008)
RR
Florida(7/30/2008)
RR
Georgia(7/30/2008)
RR
Illinois(7/30/2008)
RR
Indiana(7/30/2008)
RR
Iowa(7/30/2008)
RR
Kansas(7/30/2008)
RR
Kentucky(7/30/2008)
RR
Louisiana(10/11/2024)
RR
Maryland(7/30/2008)
RR
Massachusetts(7/30/2008)
RR
Michigan(7/30/2008)
RR
Minnesota(7/30/2008)
RR
Missouri(7/30/2008)
RR
Montana(11/20/2012)
RR
Nebraska(7/21/2016)
RR
Nevada(7/30/2008)
RR
New Hampshire(7/30/2008)
RR
New Jersey(7/30/2008)
RR
New Mexico(7/30/2008)
RR
New York(3/3/2008)
RR
North Carolina(7/30/2008)
RR
Ohio(7/31/2008)
RR
Oklahoma(7/30/2008)
RR
Oregon(7/30/2008)
RR
Pennsylvania(7/30/2008)
RR
Puerto Rico(5/10/2021)
RR
Rhode Island(7/30/2008)
RR
South Carolina(7/30/2008)
RR
South Dakota(7/30/2008)
RR
Tennessee(7/30/2008)
RR
Texas(7/30/2008)
RR
Utah(7/30/2008)
RR
Vermont(7/30/2008)
RR
Virginia(7/30/2008)
RR
Washington(7/30/2008)
RR
Wisconsin(7/30/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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.
