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KC

Kim A. Cardaio

SCOTIA CAPITAL (USA)
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 2905786
KC

Professional summary

Kim Ann Cardaio, who also goes by Kim Ann Cardaio Ms, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.

Kim is registered as a RR (Registered Representative) and started their career in finance in 2012. Kim has worked at 3 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kim Ann Cardaio Ms

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 Kim Ann Cardaio'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®
None

Experience

Current

June 13, 2019 - Present

SCOTIA CAPITAL (USA) INC.

Office #1: 250 Vesey Street, New York, NY 10281
BD
CRD#: 2739
NEW YORK, NY
Past

April 12, 2016 - July 17, 2018

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

November 9, 2015 - March 3, 2016

HILLTOP SECURITIES INC.

BD
CRD#: 6220
MATAWAN, NJ
Past

February 20, 2012 - March 11, 2015

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 7/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 2/17/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

SCOTIA CAPITAL (USA) INC.
SCOTIA CAPITAL (USA) INC.
HOWARD WEIL (A DIVISION OF SCOTIABANK) | SCOTIAMCLEOD (USA) INC. | SCOTIA HOWARD WEIL | SCOTIA CAPITAL MARKETS (USA) INC. | SCOTIA CAPITAL (USA) INC. | MCLEOD YOUNG WEIR INCORPORATED

CRD#: 2739 / SEC#: , 8-3716

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

Main Address
250 Vesey Street, New York, NY 10281
Mailing Address
250 Vesey Street, New York, NY 10281
Phone number
(212) 225-6500
Established
New York since 11/25/1939
Firm type
Corporation
Fiscal year end
October
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SCOTIA HOLDINGS (USA) LLCSOLE SHAREHOLDER
ATTIA, MONCEFBOARD MEMBER4852031
DUSSEAU, SEAN MICHAELCHIEF OPERATING OFFICER & BOARD MEMBER6628832
GALANTE, ANTHONY JAMESCHIEF FINANCIAL OFFICER2168905
GEORGALAS, ANDREAS ZANISCHIEF LEGAL OFFICER4769326
GOHMAN, BENJAMIN EBOARD MEMBER4835406
KAUSHIK, KSHAMTACHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER7523252
KHAN, ARIF KAMALCHIEF COMPLIANCE OFFICER5011278
NATHANSON, GARYBOARD MEMBER4825746
PATEL, HEMANGCHIEF OPERATIONS OFFICER8032984
WANG, ELSA YI-HUIBOARD MEMBER5984605
WILSON, MARC-ANDREBOARD MEMBER6455732

Disclosures

Regulatory Event9

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

SCOTIA CAPITAL (USA) INC.

SCOTIA CAPITAL (USA) INC.

CRD#: 2739New York, NY 10281

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