James A. Gianni
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.
James Anthony Gianni, who also goes by James Anthony Gianni, James A Gianni, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 7 firms and has passed the Series 99TO, Series 57TO, SIE and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2018 - July 1, 2021
SUNRISE BROKERS LLC
February 6, 2018 - October 3, 2023
MINT BROKERS
February 6, 2018 - October 3, 2023
GFI SECURITIES LLC
February 6, 2018 - October 3, 2023
BGC FINANCIAL, L.P.
February 10, 2003 - February 27, 2003
PACE SECURITIES, INC.
January 2, 2002 - January 3, 2018
OPPENHEIMER & CO. INC.
May 26, 1999 - January 2, 2002
PRIME CHARTER LTD.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
SUNRISE BROKERS LLC
CRD#: 151012 / SEC#: , 8-68325
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SBL SUNRISE BROKERS LIMITED | MEMBER | |
| BGC PARTNERS, L.P. | MANAGING MEMBER | |
| AUBIN, JEAN PIERRE | CHIEF EXECUTIVE OFFICER | 5596046 |
| BISGAY, STEVEN | CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4424156 |
| IATAURO, KRISTI LYNN | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 4280146 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER & SECRETARY | 2380166 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
