TG
Thomas J. Giardina
FINANCIAL TRANSPARENCY
Pittsfield, MA 01201
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CRD#: 4484176
TG
Professional summary
Thomas Joseph Giardina, who also goes by Tom Giardina, is a registered financial advisor currently at FINANCIAL TRANSPARENCY located in Pittsfield, Massachusetts.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Thomas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Giardina
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.
GIARDINA & BRESETT CONSULTING SERVICES, INC., INVESTMENT RELATED, 809 NORTH STREET PITTSFIELD MA 01201, FINANCIAL SERVICES, MEMBER, 11/8/01, MANAGERIAL AND SERVICING CLIENTS; GIARDINA & BRESETT, NON INVESTMENT RELATED, 809 NORTH ST PITTSFIELD MA 01201, CERTIFIED PUBLIC ACCOUNTANTS, PRESIDENT, 2/1/93, 136 HRS/MONTH, FINANCIAL STATEMENT AND INCOME TAX PREPARATION SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Giardina's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 24, 2018 - Present
FINANCIAL TRANSPARENCY
Office #1: 809 North Street, Pittsfield, MA 01201RIA
CRD#: 297713
Pittsfield, MA
Past
March 21, 2007 - August 7, 2018
CSSC BROKERAGE SERVICES, INC.
BD
CRD#: 141630
PITTSFIELD, MA
Past
April 10, 2002 - September 4, 2018
TRUSTEE EMPOWERMENT & PROTECTION, INC.
RIA
CRD#: 108249
PITTSFIELD, MA
Past
January 24, 2002 - March 21, 2007
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
PITTSFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FT
FINANCIAL TRANSPARENCY
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BLACKHEATH CAPITAL MANAGEMENT, LLC | BANKLER ADVISORY SERVICES, LLP
CRD#: 297713 / SEC#: 801-113605
RIA
Registered Investment Advisory firm - (7/13/2018 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Massachusetts(7/24/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FT
FINANCIAL TRANSPARENCY
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BLACKHEATH CAPITAL MANAGEMENT, LLC | BANKLER ADVISORY SERVICES, LLP
CRD#: 297713 / SEC#: 801-113605
RIA
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Contact information
Main Address
Greensboro, NC
Mailing Address
Phone number
(336) 715-3300
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 500 |
| AUM (Assets Under Management) | $ 306,343,419 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 11/27/2024 | ||
| 02/27/2024 | ||
| 04/28/2023 |
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.
