Gregg R. Giaquinto
Professional summary
Gregg Robert Giaquinto, who also goes by Gregg Robert Giaquinto, is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.
Gregg is registered as a RR (Registered Representative) and started their career in finance in 1999. Gregg has worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, Series 82TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregg Robert Giaquinto's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2007 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022February 9, 2007 - June 21, 2024
SYMPHONIC SECURITIES LLC
April 17, 2006 - February 1, 2007
ALLSTATE FINANCIAL SERVICES, LLC
December 21, 2001 - February 4, 2005
HEDGE FUND CAPITAL PARTNERS, LLC
July 8, 1999 - November 1, 2005
ELECTRONIC TRADING GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2010)
(9/4/2012)
(12/17/2014)
(2/20/2007)
(11/25/2019)
(3/16/2010)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CEO, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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