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Giorgi Marinos

CRD# 4258934·Registered 2002 - 2019
Previously Registered: Being a previously registered professional could mean that Giorgi 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.

Professional Summary

Giorgi Marinos, who also goes by Giorgi Dimitri Marinos, was a registered financial advisor. Giorgi was a previously registered financial professional and started their career in finance 2002 - 2019. Giorgi had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Giorgi Dimitri Marinos

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Videos & Posts

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Contact Information

No current employment

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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

24 years in the financial services industry

Current & Past Employments

WORDEN CAPITAL MANAGEMENT LLC·CRD# 148366
BD
Rockville Ctre., NY
March 28, 2019 - September 30, 2019
SW FINANCIAL·CRD# 145012
BD
Melville, NY
June 28, 2017 - May 16, 2018
LEGEND SECURITIES, INC.·CRD# 44952
BD
Jerchio, NY
June 19, 2015 - August 10, 2015
AEGIS CAPITAL CORP.·CRD# 15007
BD
Melville, NY
January 19, 2011 - March 13, 2014
AEGIS CAPITAL CORP.·CRD# 15007
BD
Farmingdale, NY
February 26, 2010 - August 3, 2010
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Farmingdale, NY
June 7, 2006 - March 2, 2010
ANDREW GARRETT INC.·CRD# 29931
BD
New York, NY
May 10, 2006 - June 5, 2006
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
BD
Chicago, IL
November 13, 2003 - March 10, 2005
METROPOLITAN LIFE INSURANCE COMPANY·CRD# 4095
BD
New York, NY
August 8, 2002 - August 14, 2003
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
Springfield, MA
August 8, 2002 - August 14, 2003
CONTINENTAL BROKER-DEALER CORP.·CRD# 14048
BD
Carle Place, NY
April 3, 2002 - July 11, 2002

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Current Firm

WC
WORDEN CAPITAL MANAGEMENT LLC

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366 / SEC#: 8-68010
BD
Cancelled by SEC on 09/28/2023

Contact Information

Established

New York since 05/08/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WORDEN, JAMIE JOHNCEO, MEMBER4637404
BODKIN, GREGORY PATRICKCCO3008389
BORGNER, RICHARD REISSCOO/MUNICIPAL PRINCIPAL/ROSFP1104666
CUCCIA, GARY JOHNFINOP1386493

Disclosures

Regulatory Event

6

Arbitration

12

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.
This advisor is not registered in any state.

Exams

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

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2002About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed May 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2002About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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