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GM

Giorgi Marinos

Some features on this profile are disabled
CRD#: 4258934
GM

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.

Giorgi Marinos, who also goes by Giorgi Dimitri Marinos, was a registered financial professional .

Giorgi is a previously registered financial professional and started their career in finance in 2002. Giorgi had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Giorgi Dimitri Marinos

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 28, 2019 - September 30, 2019

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
Rockville Ctre., NY
Past

June 28, 2017 - May 16, 2018

SW FINANCIAL

BD
CRD#: 145012
MELVILLE, NY
Past

June 19, 2015 - August 10, 2015

LEGEND SECURITIES, INC.

BD
CRD#: 44952
Jerchio, NY
Past

January 19, 2011 - March 13, 2014

AEGIS CAPITAL CORP.

BD
CRD#: 15007
MELVILLE, NY
Past

February 26, 2010 - August 3, 2010

AEGIS CAPITAL CORP.

BD
CRD#: 15007
FARMINGDALE, NY
Past

June 7, 2006 - March 2, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
FARMINGDALE, NY
Past

May 10, 2006 - June 5, 2006

ANDREW GARRETT INC.

BD
CRD#: 29931
NEW YORK, NY
Past

November 13, 2003 - March 10, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

August 8, 2002 - August 14, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

August 8, 2002 - August 14, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

April 3, 2002 - July 11, 2002

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/2002
General Securities Representative Examination

Current Firm

WC
WORDEN CAPITAL MANAGEMENT LLC
WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366 / SEC#: , 8-68010

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/08/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Event6
Arbitration12

Red Flags

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.

Company Information

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366

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