Thomas T. Giardi
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.
Thomas Thornton Giardi was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2013 - November 4, 2019
SEAPORT GLOBAL SECURITIES LLC
April 4, 2012 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
September 17, 2009 - April 13, 2012
U.S. BANCORP INVESTMENTS, INC.
May 2, 2006 - September 25, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - November 30, 2005
WELLS FARGO SECURITIES, LLC
May 25, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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