Michael Giordano
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.
Michael Giordano, who also goes by Michael Salvatore Giordano, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 7 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2013 - January 13, 2014
WTS PROPRIETARY TRADING GROUP LLC
March 27, 2012 - September 21, 2012
SETON SECURITIES GROUP, INC.
July 15, 2010 - March 11, 2011
LEGEND SECURITIES, INC.
December 20, 2007 - July 2, 2008
DOMESTIC SECURITIES, INC.
March 3, 2003 - January 3, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
April 12, 2001 - March 3, 2003
RUMSON CAPITAL, LLC
April 2, 2001 - April 10, 2001
DOMESTIC SECURITIES, INC.
February 24, 2000 - April 2, 2001
ALL-TECH DIRECT, INC.
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 62
Date: 2/23/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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