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Fady Tanios

LUCID CAPITAL MARKETS
New York, NY
·CRD# 4213894·15 years experience

Professional Summary

Fady Tanios is a registered financial advisor currently at LUCID CAPITAL MARKETS, LLC located in New York, New York. Fady is registered as a RR (Registered Representative) and started their career in finance in 2011. Fady has worked at 2 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

15 years in the financial services industry

Current & Past Employments

LUCID CAPITAL MARKETS, LLC·CRD# 140345
BD
1. 11 Wall Street Pod-p, New York, NY 100052. New York Stock Exchange 11 Wall Street Pod-p, New York, NY 100053. One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006
April 27, 2015 - Present
RAVEN SECURITIES CORP.·CRD# 35201
BD
New York, NY
March 7, 2011 - October 5, 2015

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Current Firm

LC
LUCID CAPITAL MARKETS, LLC

AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: 8-67305
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005

Mailing Address

C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038

Phone Number

(212) 306-2700

Established

New York since 06/15/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (27 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GI4 HOLDINGS, LLCMEMBER—
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SANTORO, CHRISTINE ANNEFINANCIAL OPERATIONS PRINCIPAL4678635
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(12/20/2017)

Exams

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

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2011About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2013About the Series 24 exam
FINRA
SRO Registrations
NYSE American LLC
SRO Registrations
New York Stock Exchange
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Fady Tanios's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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