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Brandon Daryl Gioffre

CRD# 2854741·Registered 1998 - 2015
Barred: Brandon Daryl Gioffre was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Brandon Daryl Gioffre, who also goes by Brandon D Gioffre, was a registered financial advisor. Brandon was a previously registered financial advisor and started their career in finance 1998 - 2015. Brandon had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Brandon D Gioffre

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

CONSTELLATION WEALTH ADVISORS LLC·CRD# 142502
BD
New York, NY
July 21, 2014 - August 4, 2015
MORGAN STANLEY·CRD# 149777
RIA
New York, NY
June 1, 2009 - December 31, 2011
MORGAN STANLEY·CRD# 149777
BD
New York, NY
June 1, 2009 - June 20, 2014
MORGAN STANLEY & CO. LLC·CRD# 8209
RIA
New York, NY
May 23, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
New York, NY
May 23, 2008 - June 1, 2009
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
New York, NY
February 8, 2007 - June 9, 2008
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
New York, NY
December 3, 2004 - June 9, 2008
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
August 12, 1998 - December 13, 2004

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Current Firm

CW
CONSTELLATION WEALTH ADVISORS LLC

CONSTELLATION WEALTH ADVISORS LLC | RJJ CAPITAL MANAGEMENT LLC

CRD#: 142502 / SEC#: 801-67762, 8-67471
BD
Terminated by SEC on 12/07/2015

Contact Information

Established

Delaware since 04/17/2006

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

2013 05 31 CWA WRAP FEE BROCHURE (3/31/2015)

Direct owners and executive officers

NamePositionCRD#
CWA HOLDINGS, LLCMEMBER—
GOLDSTEIN, JON MICHAELCO-CEO2163575
GORCZAKOWSKI, ROBERT MICHAELCFO AND FINOP2518262
GORCZAKOWSKI, ROBERT MICHAELCHIEF COMPLIANCE OFFICER2518262
TRAMONTANO, PAUL ERICCO-CEO1248719

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1998About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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